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
Steven Lowell Smith
Feed of 09/15/2026
At current firm
6 y
since Jan 23, 2020
In the industry
32 y
since Apr 22, 1994 (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
S65, 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
- Stonex Advisors Inc. BD affiliated currentsince Jan 23, 2020 · Carmi, Il
- Quest Capital Strategies, Inc. formerMay 1, 2018 to Dec 23, 2019 · Carmi, Il
- Interactive Financial Advisors independent RIANov 21, 2016 to Jan 2, 2018 · Oakbrook, Il
- Financial West Group formerMar 10, 2009 to Dec 31, 2013 · Evansville, In
- Edward Jones national BDFeb 18, 2005 to Dec 5, 2008 · Evansville, In
- J.J.B. Hilliard, W.L. Lyons, LLC formerJul 30, 2002 to Feb 4, 2005 · Carmi, Il
- Ameriprise Financial Services, LLC national BDDec 4, 1997 to Jun 24, 2002 · Lombard, Il
Moves
a registration end followed by a registration begin elsewhere
- Quest Capital Strategies, Inc. to Stonex Advisors Inc.left Dec 23, 2019, registered Jan 23, 2020 (31 days) · corporate re-registration, not a move
- Interactive Financial Advisors to Quest Capital Strategies, Inc.left Jan 2, 2018, registered May 1, 2018 (119 days) · Other
- Financial West Group to Interactive Financial Advisorsleft Dec 31, 2013, registered Nov 21, 2016 (1056 days) · Other
- Edward Jones to Financial West Groupleft Dec 5, 2008, registered Mar 10, 2009 (95 days) · Other
- J.J.B. Hilliard, W.L. Lyons, LLC to Edward Jonesleft Feb 4, 2005, registered Feb 18, 2005 (14 days) · Other
- Ameriprise Financial Services, LLC to J.J.B. Hilliard, W.L. Lyons, LLCleft Jun 24, 2002, registered Jul 30, 2002 (36 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
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address