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
Stephen Richard Smith
Feed of 09/14/2026
Also filed as Stephen Smith
At current firm
9 y
since Apr 24, 2017
In the industry
28 y
since Jun 23, 1998 (earliest exam, job or registration)
Prior registered firms
8
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
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 Apr 24, 2017 · Fort Myers, Fl
- Pnc Managed Account Solutions, Inc. formerFeb 16, 2016 to Mar 16, 2017 · Colorado Springs, Co
- Allstate Financial Advisors, LLC BD affiliatedAug 26, 2015 to Jan 26, 2016 · Colorado Springs, Co
- Cetera Investment Advisers LLC BD affiliatedJan 21, 2014 to Aug 14, 2015 · Shreveport, La
- Cetera Investment Services LLC formerApr 15, 2013 to Jan 21, 2014 · St Cloud, Mn
- Bb&T Investment Services, Inc. formerOct 6, 2010 to Apr 1, 2013 · Charlotte, Nc
- Raymond James Financial Services Advisors, Inc BD affiliatedMay 27, 2009 to Sep 13, 2010 · Estero, Fl
- Raymond James Financial Services, Inc. unclassifiedJun 13, 2003 to Oct 10, 2009 · Bonita Springs, Fl
- Prudential Equity Group, LLC unclassifiedAug 10, 2000 to Jun 12, 2003 · Ft. Myers, Fl
Moves
a registration end followed by a registration begin elsewhere
- Pnc Managed Account Solutions, Inc. to Cetera Investment Advisers LLCleft Mar 16, 2017, registered Apr 24, 2017 (39 days) · Other
- Allstate Financial Advisors, LLC to Pnc Managed Account Solutions, Inc.left Jan 26, 2016, registered Feb 16, 2016 (21 days) · Other
- Cetera Investment Advisers LLC to Allstate Financial Advisors, LLCleft Aug 14, 2015, registered Aug 26, 2015 (12 days) · Other
- Cetera Investment Services LLC to Cetera Investment Advisers LLCleft Jan 21, 2014, registered Jan 21, 2014 (0 days) · corporate re-registration, not a move
- Bb&T Investment Services, Inc. to Cetera Investment Services LLCleft Apr 1, 2013, registered Apr 15, 2013 (14 days) · Other
- Raymond James Financial Services Advisors, Inc to Bb&T Investment Services, Inc.left Sep 13, 2010, registered Oct 6, 2010 (23 days) · Other
- Raymond James Financial Services, Inc. to Raymond James Financial Services Advisors, Incleft Oct 10, 2009, registered May 27, 2009 (-136 days) · corporate re-registration, not a move
- Prudential Equity Group, LLC to Raymond James Financial Services, Inc.left Jun 12, 2003, registered Jun 13, 2003 (1 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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address