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
Khari Edward Smith
Feed of 09/14/2026
At current firm
3 y
since Jun 1, 2023
In the industry
25 y
since Dec 27, 2000 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66, S65
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- Blackrock Investment Management, LLC asset manager currentsince Jun 1, 2023 · Charlotte, Nc
- Nuveen Asset Management, LLC mixed wealthJan 16, 2021 to Feb 22, 2023 · Chicago, Il
- Wells Fargo Advisors wirehouseDec 18, 2012 to Oct 21, 2014 · Charlotte, Nc
- Nationwide Securities, LLC no RAUMJun 14, 2011 to Sep 11, 2012 · Columbus, Oh
- Northern Trust Securities, Inc BD affiliatedSep 25, 2006 to Dec 31, 2009 · Fort Washington, Pa
Moves
a registration end followed by a registration begin elsewhere
- Nuveen Asset Management, LLC to Blackrock Investment Management, LLCleft Feb 22, 2023, registered Jun 1, 2023 (99 days) · Other
- Wells Fargo Advisors to Nuveen Asset Management, LLCleft Oct 21, 2014, registered Jan 16, 2021 (2279 days) · Wirehouse to independent RIA
- Nationwide Securities, LLC to Wells Fargo Advisorsleft Sep 11, 2012, registered Dec 18, 2012 (98 days) · Other
- Northern Trust Securities, Inc to Nationwide Securities, LLCleft Dec 31, 2009, registered Jun 14, 2011 (530 days) · Other
Signals
- Khari Edward Smith left Nuveen Asset Management, Llc for Blackrock Investment Management, Llc (registered 2023-06-01)Feb 22, 2023 · 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
- Asset manager (funds and pooled vehicles)derived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address