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.
Feed of 09/14/2026
At current firm
0 y
since Dec 5, 2025
In the industry
34 y
since Apr 15, 1992 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
5
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- Newedge Advisors BD affiliated currentsince Dec 5, 2025 · Birmingham, Al
- Stonegate Investment Group, LLC formerJul 9, 2021 to Dec 4, 2025 · Birmingham, Al
- UBS Financial Services Inc. wirehouseSep 14, 2007 to Jul 20, 2021 · Birmingham, Al
- Citigroup Global Markets Inc. BD affiliatedAug 1, 1993 to Sep 25, 2007 · Birmingham, Al
Moves
a registration end followed by a registration begin elsewhere
- Stonegate Investment Group, LLC to Newedge Advisorsleft Dec 4, 2025, registered Dec 5, 2025 (1 days) · RIA to affiliated broker-dealer or bank · moved with a team
- UBS Financial Services Inc. to Stonegate Investment Group, LLCleft Jul 20, 2021, registered Jul 9, 2021 (-11 days) · Wirehouse to a newly registered adviser (no RAUM reported yet) · moved with a team
- Citigroup Global Markets Inc. to UBS Financial Services Inc.left Sep 25, 2007, registered Sep 14, 2007 (-11 days) · Other
Signals
- Tony Randall Smith left Stonegate Investment Group, Llc for Newedge Advisors (registered 2025-12-05)Dec 4, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address