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
Holly Smith
Feed of 09/15/2026
At current firm
17 y
since Nov 13, 2008
In the industry
40 y
since Nov 19, 1985 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Capitol Securities Management, Inc. independent RIA currentsince Nov 13, 2008 · Glen Allen, Va
- The Concord Equity Group, LLC unclassifiedOct 5, 2004 to Apr 27, 2007 · Milton, De
- Walnut Street Securities, Inc. formerAug 1, 2003 to Jun 25, 2004 · St. Louis, Mo
- Federal Street Financial Services unclassifiedJan 1, 2001 to Dec 31, 2008 · Milford, De
- Nathan & Lewis Securities, Inc. unclassifiedApr 22, 1999 to Aug 1, 2003 · Milton, De
Moves
a registration end followed by a registration begin elsewhere
- Federal Street Financial Services to Walnut Street Securities, Inc.left Dec 31, 2008, registered Aug 1, 2003 (-1979 days) · Other
- The Concord Equity Group, LLC to Capitol Securities Management, Inc.left Apr 27, 2007, registered Nov 13, 2008 (566 days) · Other
- Walnut Street Securities, Inc. to The Concord Equity Group, LLCleft Jun 25, 2004, registered Oct 5, 2004 (102 days) · Other
- Nathan & Lewis Securities, Inc. to Federal Street Financial Servicesleft Aug 1, 2003, registered Jan 1, 2001 (-942 days) · Other
Signals
No dated event on this person.
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
- Independent wealth managerderived
- Years in industry
- 40derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address