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

Julia Marie Smith

LPL Financial LLCBD affiliatedHumble, Tx dual registrantIAPD 4513099

Feed of 09/14/2026

Also filed as Julia Marie Dennis

At current firm

0 y

since Apr 27, 2026

In the industry

23 y

since Aug 5, 2003 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

LPL Financial LLC BD affiliated current
since Apr 27, 2026 · Humble, Tx
Pnc Wealth Management BD affiliated
Aug 24, 2022 to Apr 15, 2026 · Kingwood, Tx
Wells Fargo Advisors wirehouse
Jul 31, 2017 to Aug 16, 2022 · Mont Belvieu, Tx
J.P. Morgan Securities LLC wirehouse
Oct 1, 2012 to Aug 8, 2017 · Humble, Tx
Chase Investment Services Corp. former
Feb 17, 2011 to Oct 1, 2012 · Humble, Tx
Wells Fargo Investments, LLC unclassified
Jun 24, 2008 to Jan 27, 2011 · Houston, Tx

Moves

a registration end followed by a registration begin elsewhere

Pnc Wealth Management to LPL Financial LLC
left Apr 15, 2026, registered Apr 27, 2026 (12 days) · Affiliated broker-dealer or bank to another
Wells Fargo Advisors to Pnc Wealth Management
left Aug 16, 2022, registered Aug 24, 2022 (8 days) · Wirehouse to affiliated broker-dealer or bank
J.P. Morgan Securities LLC to Wells Fargo Advisors
left Aug 8, 2017, registered Jul 31, 2017 (-8 days) · Wirehouse to wirehouse · moved with a team
Chase Investment Services Corp. to J.P. Morgan Securities LLC
left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
Wells Fargo Investments, LLC to Chase Investment Services Corp.
left Jan 27, 2011, registered Feb 17, 2011 (21 days) · Other

Signals

Julia Marie Smith left Pnc Wealth Management for Lpl Financial Llc (registered 2026-04-27)
Apr 15, 2026 · Advisor changed firm · fact
Julia Marie Smith left Wells Fargo Advisors for Pnc Wealth Management (registered 2022-08-24)
Aug 16, 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: 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