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
Matthew Thomas Simard
Feed of 09/16/2026
Also filed as Matthew Thomas Simard
At current firm
6 y
since Jan 2, 2020
In the industry
23 y
since Jan 16, 2003 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
2
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Rise Private Wealth Management former currentsince Sep 11, 2026 · Auburn, Me
- Ameriprise Financial Services, LLC national BD currentsince Jan 2, 2020 · Auburn, Me
- Commonwealth Financial Network national BDJan 4, 2010 to Jan 2, 2020 · Falmouth, Me
- Td Wealth Management Services Inc. unclassifiedNov 17, 2009 to Jan 5, 2010 · Auburn, Me
- Cetera Investment Services LLC formerApr 16, 2007 to Nov 19, 2009 · Auburn, Me
- Advest, Inc. unclassifiedJan 18, 2006 to Mar 8, 2006 · Lewiston, Me
- Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseMay 9, 2005 to Apr 20, 2007 · Portland, Me
Moves
a registration end followed by a registration begin elsewhere
- Commonwealth Financial Network to Ameriprise Financial Services, LLCleft Jan 2, 2020, registered Jan 2, 2020 (0 days) · Affiliated broker-dealer or bank to another
- Td Wealth Management Services Inc. to Commonwealth Financial Networkleft Jan 5, 2010, registered Jan 4, 2010 (-1 days) · Other
- Cetera Investment Services LLC to Td Wealth Management Services Inc.left Nov 19, 2009, registered Nov 17, 2009 (-2 days) · corporate re-registration, not a move
- Merrill Lynch, Pierce, Fenner & Smith Incorporated to Advest, Inc.left Apr 20, 2007, registered Jan 18, 2006 (-457 days) · Other
- Advest, Inc. to Cetera Investment Services LLCleft Mar 8, 2006, registered Apr 16, 2007 (404 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
- Former SEC-registered adviserderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address