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
Lisa Smith
Merrill Lynch, Pierce, Fenner & Smith IncorporatedwirehouseLos Angeles, Ca dual registrantIAPD 2028651
Feed of 09/15/2026
Also filed as Lisa Smith
At current firm
10 y
since May 25, 2016
In the industry
36 y
since Mar 1, 1990 (earliest exam, job or registration)
Prior registered firms
5
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
- Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse currentsince May 25, 2016 · Los Angeles, Ca
- LPL Financial LLC BD affiliatedMay 1, 2013 to May 6, 2016 · Pinole, Ca
- Cetera Investment Services LLC formerJul 23, 2012 to Apr 30, 2013 · Oakland, Ca
- Chase Investment Services Corp. formerDec 14, 2009 to Jul 12, 2011 · Oakland, Ca
- Waddell & Reed formerJul 9, 2009 to Dec 1, 2009 · Fairfield, Ca
- Banc Of America Investment Services, Inc. unclassifiedMay 12, 1998 to Feb 9, 2009 · San Francisco, Ca
Moves
a registration end followed by a registration begin elsewhere
- LPL Financial LLC to Merrill Lynch, Pierce, Fenner & Smith Incorporatedleft May 6, 2016, registered May 25, 2016 (19 days) · Other
- Cetera Investment Services LLC to LPL Financial LLCleft Apr 30, 2013, registered May 1, 2013 (1 days) · Other
- Chase Investment Services Corp. to Cetera Investment Services LLCleft Jul 12, 2011, registered Jul 23, 2012 (377 days) · Other
- Waddell & Reed to Chase Investment Services Corp.left Dec 1, 2009, registered Dec 14, 2009 (13 days) · Other
- Banc Of America Investment Services, Inc. to Waddell & Reedleft Feb 9, 2009, registered Jul 9, 2009 (150 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
- Wirehousederived
- Years in industry
- 36derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address