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

Lisa L Smith

Nine30 Advisors LLCindependent RIAJohns Creek, Gadual registrantIAPD 2691076

Feed of 09/14/2026

Also filed as Lisa Logan Smith

At current firm

1 y

since Sep 16, 2025

In the industry

29 y

since Jun 13, 1997 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

Nine30 Advisors LLC independent RIA current
since Sep 16, 2025 · Johns Creek, Ga
Bison Wealth, LLC former
Apr 25, 2022 to Apr 12, 2024 · Atlanta, Ga
Kalos Management former
Jan 22, 2015 to Mar 3, 2022 · Ponte Vedra Beach, Fl
Wells Fargo Advisors wirehouse
Jan 31, 2013 to Dec 12, 2014 · Norcross, Ga
Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse
Oct 14, 2011 to Jan 2, 2013 · Alpharetta, Ga
Morgan Stanley wirehouse
Feb 9, 2011 to Aug 19, 2011 · Alpharetta, Ga

Moves

a registration end followed by a registration begin elsewhere

Bison Wealth, LLC to Nine30 Advisors LLC
left Apr 12, 2024, registered Sep 16, 2025 (522 days) · RIA to RIA
Kalos Management to Bison Wealth, LLC
left Mar 3, 2022, registered Apr 25, 2022 (53 days) · Affiliated broker-dealer or bank to independent RIA
Wells Fargo Advisors to Kalos Management
left Dec 12, 2014, registered Jan 22, 2015 (41 days) · Other
Merrill Lynch, Pierce, Fenner & Smith Incorporated to Wells Fargo Advisors
left Jan 2, 2013, registered Jan 31, 2013 (29 days) · Wirehouse to wirehouse
Morgan Stanley to Merrill Lynch, Pierce, Fenner & Smith Incorporated
left Aug 19, 2011, registered Oct 14, 2011 (56 days) · Wirehouse to wirehouse

Signals

Lisa L Smith left Bison Wealth, Llc for Nine30 Advisors Llc (registered 2025-09-16)
Apr 12, 2024 · Advisor changed firm · fact
Lisa L Smith left Kalos Management for Bison Wealth, Llc (registered 2022-04-25)
Mar 3, 2022 · 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: Independent wealth managerderived
Years in industry: 29derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address