DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Registered advisor

Carolyn Smith Link

Charles Schwab & Co., Inc.national BDChesterfield, Modual registrantIAPD 1347030

Feed of 09/14/2026

Also filed as Carolyn Smithlink

At current firm

0 y

since Sep 4, 2026

In the industry

41 y

since May 13, 1985 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

Charles Schwab & Co., Inc. national BD current
since Sep 4, 2026 · Chesterfield, Mo
&Partners independent RIA
May 21, 2025 to Jul 31, 2026 · Clayton, Mo
Wells Fargo Advisors wirehouse
Jun 22, 2011 to May 8, 2025 · St. Louis, Mo
Wells Fargo Advisors wirehouse
Jun 22, 2011 to May 7, 2025 · St. Louis, Mo
Msi Financial Services, Inc. former
Nov 28, 2005 to Jan 23, 2009 · Springfield, Ma
Metlife Investment Fund Services LLC unclassified
Oct 31, 1995 to Jan 10, 2006 · Alpharetta , Ga

Moves

a registration end followed by a registration begin elsewhere

&Partners to Charles Schwab & Co., Inc.
left Jul 31, 2026, registered Sep 4, 2026 (35 days) · RIA to affiliated broker-dealer or bank
Wells Fargo Advisors to &Partners
left May 8, 2025, registered May 21, 2025 (13 days) · Wirehouse to independent RIA
Wells Fargo Advisors to Wells Fargo Advisors
left May 7, 2025, registered Jun 22, 2011 (-5068 days) · channel change inside one enterprise, not a move · moved with a team
Msi Financial Services, Inc. to Wells Fargo Advisors
left Jan 23, 2009, registered Jun 22, 2011 (880 days) · Other
Metlife Investment Fund Services LLC to Msi Financial Services, Inc.
left Jan 10, 2006, registered Nov 28, 2005 (-43 days) · corporate re-registration, not a move

Signals

Carolyn Smith Link left &Partners for Charles Schwab & Co., Inc. (registered 2026-09-04)
Jul 31, 2026 · Advisor changed firm · fact
Carolyn Smith Link left Wells Fargo Advisors for &Partners (registered 2025-05-21)
May 8, 2025 · Advisor changed firm · fact

Transition signals

Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.

Provenance

Source: IAPD individual compilation feedreportedadviserinfo.sec.gov
Firm class: National broker-dealer RIAderived
Years in industry: 41derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address