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
Thomas Michael Smith
Feed of 09/14/2026
Also filed as Tom M. Smith
At current firm
7 y
since Sep 28, 2018
In the industry
23 y
since May 13, 2003 (earliest exam, job or registration)
Prior registered firms
6
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- LPL Financial LLC BD affiliated currentsince Sep 28, 2018 · Louisville, Ky
- Waddell & Reed formerOct 12, 2015 to Oct 4, 2018 · Louisville, Ky
- Private Client Services, LLC BD affiliatedJan 22, 2015 to Oct 13, 2015 · Louisville, Ky
- First Allied Advisory Services, Inc. formerJan 21, 2014 to Feb 3, 2015 · Louisville, Ky
- Private Client Services, LLC BD affiliatedJul 18, 2012 to Jan 24, 2014 · Louisville, Ky
- MML Investors Services, LLC BD affiliatedNov 22, 2010 to Jul 23, 2012 · Lexington, Ky
- Msi Financial Services, Inc. formerMay 13, 2003 to Dec 31, 2003 · Louisville, Ky
Moves
a registration end followed by a registration begin elsewhere
- Waddell & Reed to LPL Financial LLCleft Oct 4, 2018, registered Sep 28, 2018 (-6 days) · Affiliated broker-dealer or bank to independent RIA
- Private Client Services, LLC to Waddell & Reedleft Oct 13, 2015, registered Oct 12, 2015 (-1 days) · Other
- First Allied Advisory Services, Inc. to Private Client Services, LLCleft Feb 3, 2015, registered Jan 22, 2015 (-12 days) · Other
- Private Client Services, LLC to First Allied Advisory Services, Inc.left Jan 24, 2014, registered Jan 21, 2014 (-3 days) · Other
- MML Investors Services, LLC to Private Client Services, LLCleft Jul 23, 2012, registered Jul 18, 2012 (-5 days) · Other
- Msi Financial Services, Inc. to MML Investors Services, LLCleft Dec 31, 2003, registered Nov 22, 2010 (2518 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
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address