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
Sharmishtha Prasad
Feed of 09/14/2026
Also filed as Simmi Prasad
At current firm
1 y
since May 15, 2025
In the industry
22 y
since May 24, 2004 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- LPL Financial LLC BD affiliated currentsince May 15, 2025 · Raleigh, Nc
- Cuso Financial Services, L.P. formerSep 3, 2024 to May 15, 2025 · Raleigh, Nc
- Pnc Capital Advisors LLC otherJul 22, 2021 to Jul 20, 2023 · Raleigh, Nc
- Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseMar 16, 2018 to Jun 15, 2021 · Raleigh, Nc
- Wells Fargo Advisors wirehouseAug 10, 2005 to Apr 5, 2011 · Charlotte, Nc
Moves
a registration end followed by a registration begin elsewhere
- Cuso Financial Services, L.P. to LPL Financial LLCleft May 15, 2025, registered May 15, 2025 (0 days) · corporate re-registration, not a move
- Pnc Capital Advisors LLC to Cuso Financial Services, L.P.left Jul 20, 2023, registered Sep 3, 2024 (411 days) · Other
- Merrill Lynch, Pierce, Fenner & Smith Incorporated to Pnc Capital Advisors LLCleft Jun 15, 2021, registered Jul 22, 2021 (37 days) · Other
- Wells Fargo Advisors to Merrill Lynch, Pierce, Fenner & Smith Incorporatedleft Apr 5, 2011, registered Mar 16, 2018 (2537 days) · Wirehouse to wirehouse
Signals
- Sharmishtha Prasad left Pnc Capital Advisors Llc for Cuso Financial Services, L.P. (registered 2024-09-03)Jul 20, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address