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

John Fremont-Smith

Friends Wealth Managementstate registeredEllicott City, MdIA-onlyIAPD 3146231

Feed of 09/14/2026

Also filed as John Xavier Fremontsmith

At current firm

2 y

since May 29, 2024

In the industry

27 y

since May 7, 1999 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

Friends Wealth Management state registered current
since May 29, 2024 · Ellicott City, Md
Pruco Securities, LLC no RAUM
Oct 5, 2023 to Feb 16, 2024 · North Bethesda, Md
Northwestern Mutual Investment Services,LLC no RAUM
Jan 26, 2023 to Sep 21, 2023 · Ellicott City, Md
Ameriprise Financial Services, LLC national BD
Aug 19, 2019 to Jun 10, 2022 · Columbia, Md
Voya Investment Management Co. LLC asset manager
Apr 4, 2017 to May 17, 2019 · Ellicott City, Md
Calamos Advisors LLC asset manager
Jun 28, 2013 to Feb 23, 2017 · Naperville, Il
Bny Mellon Securities Corporation other
Jan 22, 2009 to Jun 3, 2013 · Charlotte, Nc

Moves

a registration end followed by a registration begin elsewhere

Pruco Securities, LLC to Friends Wealth Management
left Feb 16, 2024, registered May 29, 2024 (103 days) · Affiliated broker-dealer or bank to a state-registered adviser
Northwestern Mutual Investment Services,LLC to Pruco Securities, LLC
left Sep 21, 2023, registered Oct 5, 2023 (14 days) · Other
Ameriprise Financial Services, LLC to Northwestern Mutual Investment Services,LLC
left Jun 10, 2022, registered Jan 26, 2023 (230 days) · Other
Voya Investment Management Co. LLC to Ameriprise Financial Services, LLC
left May 17, 2019, registered Aug 19, 2019 (94 days) · Other · moved with a team
Calamos Advisors LLC to Voya Investment Management Co. LLC
left Feb 23, 2017, registered Apr 4, 2017 (40 days) · Other
Bny Mellon Securities Corporation to Calamos Advisors LLC
left Jun 3, 2013, registered Jun 28, 2013 (25 days) · Other

Signals

John Fremont-Smith left Pruco Securities, Llc for Friends Wealth Management (registered 2024-05-29)
Feb 16, 2024 · Advisor changed firm · fact
John Fremont-Smith left Northwestern Mutual Investment Services,Llc for Pruco Securities, Llc (registered 2023-10-05)
Sep 21, 2023 · Advisor changed firm · fact
John Fremont-Smith left Ameriprise Financial Services, Llc for Northwestern Mutual Investment Services,Llc (registered 2023-01-26)
Jun 10, 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: STATE REGISTEREDderived
Years in industry: 27derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address