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
Patricia L Smith
Feed of 09/14/2026
Also filed as Tricia Smith
At current firm
10 y
since May 9, 2016
In the industry
30 y
since Jun 10, 1996 (earliest exam, job or registration)
Prior registered firms
6
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Cambridge Investment Research Advisors, Inc. BD affiliated currentsince May 9, 2016 · Greenville, Sc
- Transamerica Financial Advisors, LLC BD affiliatedApr 18, 2016 to May 10, 2016 · Charlotte, Nc
- Triad Advisors, LLC formerFeb 20, 2015 to Apr 9, 2015 · Greenville, Sc
- Nfp Advisor Services, LLC formerMay 3, 2012 to Feb 27, 2013 · Greenville, Sc
- Fintrust Investment Advisory Services, LLC formerApr 13, 2009 to May 31, 2012 · Greenville, Sc
- Gni Capital Inc. formerApr 26, 2007 to Apr 7, 2009 · Greenville, Sc
- American Securities Group, Inc. unclassifiedSep 5, 2006 to May 7, 2007 · Greenville, Sc
Moves
a registration end followed by a registration begin elsewhere
- Transamerica Financial Advisors, LLC to Cambridge Investment Research Advisors, Inc.left May 10, 2016, registered May 9, 2016 (-1 days) · Other
- Triad Advisors, LLC to Transamerica Financial Advisors, LLCleft Apr 9, 2015, registered Apr 18, 2016 (375 days) · Other
- Nfp Advisor Services, LLC to Triad Advisors, LLCleft Feb 27, 2013, registered Feb 20, 2015 (723 days) · Other
- Fintrust Investment Advisory Services, LLC to Nfp Advisor Services, LLCleft May 31, 2012, registered May 3, 2012 (-28 days) · Other
- Gni Capital Inc. to Fintrust Investment Advisory Services, LLCleft Apr 7, 2009, registered Apr 13, 2009 (6 days) · Other
- American Securities Group, Inc. to Gni Capital Inc.left May 7, 2007, registered Apr 26, 2007 (-11 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address