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

Mike Francis Smith

UBS Financial Services Inc.wirehouseAberdeen, Nj dual registrantIAPD 1397389
Feed of 09/15/2026
Also filed as Michael F Smith
At current firm
2 y
since Nov 14, 2023
In the industry
27 y
since Dec 3, 1998 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
2
dated events on this person
Registration history
IAPD current and previous registrations
Moves
a registration end followed by a registration begin elsewhere
Signals
  • Mike Francis Smith left Rockefeller Capital Management for Ubs Financial Services Inc. (registered 2023-11-14)
    Oct 13, 2023 · Advisor changed firm · fact
  • Mike Francis Smith left Ubs Financial Services Inc. for Rockefeller Capital Management (registered 2022-10-28)
    Oct 27, 2022 · 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
Wirehousederived
Years in industry
27derivedfrom the earliest dated exam, employment or registration
Not published
disclosure flags, outside business text, branch street address