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
John Charles Smith
Feed of 09/14/2026
At current firm
14 y
since Sep 4, 2012
In the industry
31 y
since Nov 10, 1994 (earliest exam, job or registration)
Prior registered firms
6
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
- Charles Schwab & Co., Inc. national BD currentsince Sep 4, 2012 · Salem, Or
- Banyan Partners, LLC formerJun 23, 2010 to Jul 10, 2012 · Naples, Fl
- Sitka Pacific Capital Management, LLC formerMay 14, 2009 to Feb 22, 2011 · Seattle, Wa
- Calamos Wealth Management LLC independent RIAOct 30, 2007 to Jan 13, 2009 · Naperville, Il
- Calamos Advisors LLC asset managerJan 22, 2007 to Oct 17, 2007 · Naperville, Il
- Private Capital Management, LP formerFeb 21, 2003 to Nov 15, 2006 · Naples, Fl
- Strategic Advisers LLC national BDJun 28, 2000 to Jan 24, 2003 · Naples, Fl
Moves
a registration end followed by a registration begin elsewhere
- Banyan Partners, LLC to Charles Schwab & Co., Inc.left Jul 10, 2012, registered Sep 4, 2012 (56 days) · Other
- Sitka Pacific Capital Management, LLC to Banyan Partners, LLCleft Feb 22, 2011, registered Jun 23, 2010 (-244 days) · Other
- Calamos Wealth Management LLC to Sitka Pacific Capital Management, LLCleft Jan 13, 2009, registered May 14, 2009 (121 days) · Other
- Calamos Advisors LLC to Calamos Wealth Management LLCleft Oct 17, 2007, registered Oct 30, 2007 (13 days) · Other
- Private Capital Management, LP to Calamos Advisors LLCleft Nov 15, 2006, registered Jan 22, 2007 (68 days) · Other
- Strategic Advisers LLC to Private Capital Management, LPleft Jan 24, 2003, registered Feb 21, 2003 (28 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
- National broker-dealer RIAderived
- Years in industry
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address