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
William Michael Smith
Merrill Lynch, Pierce, Fenner & Smith IncorporatedwirehouseHunt Valley, Mddual registrantIAPD 4093822
Feed of 09/14/2026
At current firm
3 y
since Dec 2, 2022
In the industry
26 y
since Feb 11, 2000 (earliest exam, job or registration)
Prior registered firms
8
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse currentsince Dec 2, 2022 · Hunt Valley, Md
- Fidelity Personal And Workplace Advisors formerJul 13, 2018 to Dec 6, 2022 · Boston, Ma
- Strategic Advisers LLC national BDMay 29, 2018 to Jul 13, 2018 · Towson, Md
- Red Oak Financial Group independent RIAFeb 9, 2016 to May 11, 2018 · Towson, Md
- Maryland Capital Management, LLC formerAug 15, 2014 to Feb 9, 2016 · Towson, Md
- 1919 Investment Counsel, LLC independent RIAApr 16, 2012 to Aug 8, 2014 · Baltimore, Md
- Clearbridge Investments formerDec 18, 2007 to Dec 1, 2011 · Baltimore, Md
- Clearbridge Investments, LLC mixed wealthMar 17, 2006 to Dec 18, 2007 · New York, Ny
- Legg Mason Wood Walker, Incorporated unclassifiedFeb 23, 2005 to Dec 5, 2005 · Baltimore, Md
Moves
a registration end followed by a registration begin elsewhere
- Fidelity Personal And Workplace Advisors to Merrill Lynch, Pierce, Fenner & Smith Incorporatedleft Dec 6, 2022, registered Dec 2, 2022 (-4 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
- Strategic Advisers LLC to Fidelity Personal And Workplace Advisorsleft Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move
- Red Oak Financial Group to Strategic Advisers LLCleft May 11, 2018, registered May 29, 2018 (18 days) · RIA to affiliated broker-dealer or bank
- Maryland Capital Management, LLC to Red Oak Financial Groupleft Feb 9, 2016, registered Feb 9, 2016 (0 days) · Other
- 1919 Investment Counsel, LLC to Maryland Capital Management, LLCleft Aug 8, 2014, registered Aug 15, 2014 (7 days) · Other
- Clearbridge Investments to 1919 Investment Counsel, LLCleft Dec 1, 2011, registered Apr 16, 2012 (137 days) · Other
- Clearbridge Investments, LLC to Clearbridge Investmentsleft Dec 18, 2007, registered Dec 18, 2007 (0 days) · channel change inside one enterprise, not a move
- Legg Mason Wood Walker, Incorporated to Clearbridge Investments, LLCleft Dec 5, 2005, registered Mar 17, 2006 (102 days) · Other
Signals
- William Michael Smith left Fidelity Personal And Workplace Advisors for Merrill Lynch, Pierce, Fenner & Smith Incorporated (registered 2022-12-02)Dec 6, 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
- Wirehousederived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address