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
Henry Lequence Smith
Feed of 09/14/2026
Also filed as Henry L Smith
At current firm
14 y
since Sep 17, 2012
In the industry
28 y
since Aug 28, 1998 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Hv Capital Advisors LLC state registered currentsince Sep 17, 2012 · Dallas, Tx
- Brokersxpress LLC formerMar 15, 2010 to Sep 7, 2012 · Chicago, Il
- Evolve Securities, Inc. unclassifiedJan 30, 2009 to Mar 18, 2010 · Austin, Tx
- Southwest Texas Capital, L.L.C unclassifiedApr 14, 2006 to Oct 30, 2007 · Plano, Tx
- Hilltop Securities Inc. BD affiliatedFeb 3, 2003 to Nov 4, 2005 · Dallas, Tx
- Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseAug 31, 1998 to Jan 29, 2003 · Dallas, Tx
Moves
a registration end followed by a registration begin elsewhere
- Brokersxpress LLC to Hv Capital Advisors LLCleft Sep 7, 2012, registered Sep 17, 2012 (10 days) · Other
- Evolve Securities, Inc. to Brokersxpress LLCleft Mar 18, 2010, registered Mar 15, 2010 (-3 days) · Other
- Southwest Texas Capital, L.L.C to Evolve Securities, Inc.left Oct 30, 2007, registered Jan 30, 2009 (458 days) · Other
- Hilltop Securities Inc. to Southwest Texas Capital, L.L.Cleft Nov 4, 2005, registered Apr 14, 2006 (161 days) · Other
- Merrill Lynch, Pierce, Fenner & Smith Incorporated to Hilltop Securities Inc.left Jan 29, 2003, registered Feb 3, 2003 (5 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
- STATE REGISTEREDderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address