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
Matthew Peter Smith
Certified Financial Planner
Feed of 09/15/2026
Also filed as Matthew Peter Smith
At current firm
12 y
since Jul 1, 2014
In the industry
27 y
since May 4, 1999 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Santander Securities BD affiliated currentsince Jul 1, 2014 · Palmer, Ma
- Citizens Securities, Inc. BD affiliatedSep 17, 2009 to Apr 11, 2014 · Springfield, Ma
- LPL Financial LLC BD affiliatedMay 27, 2008 to Sep 21, 2009 · Boston, Ma
- Ifmg Securities, Inc. unclassifiedJun 8, 2005 to May 27, 2008 · Sudbury, Ma
- Ameriprise Financial Services, LLC national BDApr 15, 2003 to Jun 4, 2005 · East Hartford, Ct
Moves
a registration end followed by a registration begin elsewhere
- Citizens Securities, Inc. to Santander Securitiesleft Apr 11, 2014, registered Jul 1, 2014 (81 days) · Other
- LPL Financial LLC to Citizens Securities, Inc.left Sep 21, 2009, registered Sep 17, 2009 (-4 days) · Other
- Ifmg Securities, Inc. to LPL Financial LLCleft May 27, 2008, registered May 27, 2008 (0 days) · corporate re-registration, not a move
- Ameriprise Financial Services, LLC to Ifmg Securities, Inc.left Jun 4, 2005, registered Jun 8, 2005 (4 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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address