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
Brian Paul Smith
Feed of 09/14/2026
At current firm
4 y
since Aug 4, 2022
In the industry
32 y
since Jun 23, 1994 (earliest exam, job or registration)
Prior registered firms
5
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
- Cetera Investment Advisers LLC BD affiliated currentsince Aug 4, 2022 · Bradenton, Fl
- Hancock Whitney Investment Services Inc. independent RIAMar 20, 2020 to Aug 10, 2022 · New Orleans, La
- Fidelity Personal And Workplace Advisors formerJul 13, 2018 to Nov 29, 2019 · Boston, Ma
- Strategic Advisers LLC national BDMar 21, 2013 to Jul 13, 2018 · Sarasota, Fl
- Suntrust Investment Services, Inc. formerJun 12, 2006 to Jan 10, 2013 · Sarasota, Fl
- Wells Fargo Advisors wirehouseOct 1, 2000 to May 30, 2006 · Sarasota, Fl
Moves
a registration end followed by a registration begin elsewhere
- Hancock Whitney Investment Services Inc. to Cetera Investment Advisers LLCleft Aug 10, 2022, registered Aug 4, 2022 (-6 days) · corporate re-registration, not a move
- Fidelity Personal And Workplace Advisors to Hancock Whitney Investment Services Inc.left Nov 29, 2019, registered Mar 20, 2020 (112 days) · Affiliated broker-dealer or bank to another
- Strategic Advisers LLC to Fidelity Personal And Workplace Advisorsleft Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move
- Suntrust Investment Services, Inc. to Strategic Advisers LLCleft Jan 10, 2013, registered Mar 21, 2013 (70 days) · Other
- Wells Fargo Advisors to Suntrust Investment Services, Inc.left May 30, 2006, registered Jun 12, 2006 (13 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