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
James Morris Smith
Feed of 09/14/2026
Also filed as Jamie Smith
At current firm
1 y
since Jun 26, 2025
In the industry
32 y
since Feb 11, 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
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
- RBC Capital Markets, LLC national BD currentsince Jun 26, 2025 · Franklin, Tn
- Janney Montgomery Scott LLC BD affiliatedAug 18, 2017 to Jul 11, 2025 · Franklin, Tn
- Wells Fargo Advisors wirehouseOct 7, 2011 to Aug 17, 2017 · Brentwood, Tn
- Suntrust Investment Services, Inc. formerSep 22, 2006 to Oct 14, 2011 · Spring Hill, Tn
- Fifth Third Securities, Inc. BD affiliatedFeb 24, 2005 to Sep 21, 2006 · Franklin, Tn
- Morgan Keegan & Company, LLC formerJul 28, 2004 to Dec 2, 2004 · North Little Rock, Ar
- Union Planters Investment Advisors, Inc. unclassifiedJun 1, 2001 to Aug 6, 2004 · Jonesboro, Ar
Moves
a registration end followed by a registration begin elsewhere
- Janney Montgomery Scott LLC to RBC Capital Markets, LLCleft Jul 11, 2025, registered Jun 26, 2025 (-15 days) · Affiliated broker-dealer or bank to another · moved with a team
- Wells Fargo Advisors to Janney Montgomery Scott LLCleft Aug 17, 2017, registered Aug 18, 2017 (1 days) · Other · moved with a team
- Suntrust Investment Services, Inc. to Wells Fargo Advisorsleft Oct 14, 2011, registered Oct 7, 2011 (-7 days) · Other
- Fifth Third Securities, Inc. to Suntrust Investment Services, Inc.left Sep 21, 2006, registered Sep 22, 2006 (1 days) · Other
- Morgan Keegan & Company, LLC to Fifth Third Securities, Inc.left Dec 2, 2004, registered Feb 24, 2005 (84 days) · Other
- Union Planters Investment Advisors, Inc. to Morgan Keegan & Company, LLCleft Aug 6, 2004, registered Jul 28, 2004 (-9 days) · corporate re-registration, not a move
Signals
- James Morris Smith left Janney Montgomery Scott Llc for Rbc Capital Markets, Llc (registered 2025-06-26)Jul 11, 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
- National broker-dealer RIAderived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address