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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Registered advisor

E••••• L•• S••••

C••• I••••••••• A••••••• S•••••••• L••institutionalMaitland, FlIA-onlyIAPD 4460078

Feed of 09/14/2026

Also filed as Ernie Lee Smith

At current firm

0 y

since Jun 16, 2026

In the industry

24 y

since Oct 29, 2001 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

C••• I••••••••• A••••••• S•••••••• L•• institutional current
since Jun 16, 2026 · Maitland, Fl
N•••••• C•••••• M••••••••• I••• independent RIA
Feb 18, 2023 to Sep 1, 2026 · Hoover, Al
N••••••••• L•• independent RIA
Nov 3, 2022 to Feb 1, 2023 · Dallas, Tx
P•••••••• S••••••••• I••• BD affiliated
Jun 19, 2019 to Aug 12, 2020 · Birmingham, Al
L•• F•••••••• L•• BD affiliated
Mar 27, 2017 to Jun 12, 2019 · Birmingham, Al
O••••••••• S••••••••• I••• BD affiliated
Jan 25, 2010 to Mar 16, 2017 · Birmingham, Al
M••••• S•••••• D• I••• unclassified
Feb 26, 2002 to Sep 24, 2002 · Birmingham, Al

Moves

a registration end followed by a registration begin elsewhere

N•••••• C•••••• M••••••••• I••• to C••• I••••••••• A••••••• S•••••••• L••
left Sep 1, 2026, registered Jun 16, 2026 (-77 days) · Other
N••••••••• L•• to N•••••• C•••••• M••••••••• I•••
left Feb 1, 2023, registered Feb 18, 2023 (17 days) · RIA to RIA
P•••••••• S••••••••• I••• to N••••••••• L••
left Aug 12, 2020, registered Nov 3, 2022 (813 days) · Affiliated broker-dealer or bank to independent RIA
L•• F•••••••• L•• to P•••••••• S••••••••• I•••
left Jun 12, 2019, registered Jun 19, 2019 (7 days) · RIA to affiliated broker-dealer or bank
O••••••••• S••••••••• I••• to L•• F•••••••• L••
left Mar 16, 2017, registered Mar 27, 2017 (11 days) · Other
M••••• S•••••• D• I••• to O••••••••• S••••••••• I•••
left Sep 24, 2002, registered Jan 25, 2010 (2680 days) · Other

Signals

E••••• L•• S•••• left N•••••• C•••••• M••••••••• I••• for C••• I••••••••• A••••••• S•••••••• L•• (registered 2026-06-16)
Sep 1, 2026 · Advisor changed firm · fact
E••••• L•• S•••• left N••••••••• L•• for N•••••• C•••••• M••••••••• I••• (registered 2023-02-18)
Feb 1, 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: Institutional managerderived
Years in industry: 24derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address