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
Joseph Gary Smith
Certified Financial Planner
Feed of 09/15/2026
Also filed as Gary Smith
At current firm
0 y
since Apr 2, 2026
In the industry
28 y
since Jun 22, 1998 (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
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
2
dated events on this person
Registration history
IAPD current and previous registrations
- Keystone Financial Group, LLC independent RIA currentsince Apr 2, 2026 · Louisville, Ky
- Stratos Wealth Partners, Ltd BD affiliatedJun 23, 2025 to Mar 31, 2026 · Louisville, Ky
- Horizon Wealth Management, LLC state registeredMar 24, 2016 to Mar 13, 2026 · Louisville, Ky
- Fifth Third Securities, Inc. BD affiliatedDec 17, 2009 to Feb 17, 2012 · Louisville, Ky
- Pnc Wealth Management BD affiliatedNov 13, 2009 to Dec 17, 2009 · Louisville, Ky
- Natcity Investments, Inc. unclassifiedDec 6, 2004 to Nov 13, 2009 · Louisville, Ky
Moves
a registration end followed by a registration begin elsewhere
- Stratos Wealth Partners, Ltd to Keystone Financial Group, LLCleft Mar 31, 2026, registered Apr 2, 2026 (2 days) · Affiliated broker-dealer or bank to independent RIA
- Horizon Wealth Management, LLC to Stratos Wealth Partners, Ltdleft Mar 13, 2026, registered Jun 23, 2025 (-263 days) · Other
- Fifth Third Securities, Inc. to Horizon Wealth Management, LLCleft Feb 17, 2012, registered Mar 24, 2016 (1497 days) · Other
- Pnc Wealth Management to Fifth Third Securities, Inc.left Dec 17, 2009, registered Dec 17, 2009 (0 days) · Other
- Natcity Investments, Inc. to Pnc Wealth Managementleft Nov 13, 2009, registered Nov 13, 2009 (0 days) · corporate re-registration, not a move
Signals
- Joseph Gary Smith left Stratos Wealth Partners, Ltd for Keystone Financial Group, Llc (registered 2026-04-02)Mar 31, 2026 · Advisor changed firm · fact
- Joseph Gary Smith left Horizon Wealth Management, Llc for Stratos Wealth Partners, Ltd (registered 2025-06-23)Mar 13, 2026 · 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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address