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

Charles Gordon Naismith

Raymond James Financial Services Advisors, IncBD affiliatedWenatchee, Wadual registrantIAPD 4785213

Feed of 09/14/2026

Also filed as Charlie Naismith

At current firm

2 y

since Sep 16, 2024

In the industry

22 y

since Jul 7, 2004 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

Raymond James Financial Services Advisors, Inc BD affiliated current
since Sep 16, 2024 · Wenatchee, Wa
Stifel, Nicolaus & Company, Incorporated national BD
Sep 11, 2009 to Sep 26, 2024 · Wenatchee, Wa
UBS Financial Services Inc. wirehouse
Aug 12, 2006 to Sep 11, 2009 · Weehawken, Nj
Piper Sandler & Co. institutional
Dec 20, 2005 to Aug 12, 2006 · Minneapolis, Mn
Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse
Jul 8, 2004 to Dec 21, 2005 · Wenatchee, Wa

Moves

a registration end followed by a registration begin elsewhere

Stifel, Nicolaus & Company, Incorporated to Raymond James Financial Services Advisors, Inc
left Sep 26, 2024, registered Sep 16, 2024 (-10 days) · Affiliated broker-dealer or bank to another
UBS Financial Services Inc. to Stifel, Nicolaus & Company, Incorporated
left Sep 11, 2009, registered Sep 11, 2009 (0 days) · corporate re-registration, not a move
Piper Sandler & Co. to UBS Financial Services Inc.
left Aug 12, 2006, registered Aug 12, 2006 (0 days) · corporate re-registration, not a move
Merrill Lynch, Pierce, Fenner & Smith Incorporated to Piper Sandler & Co.
left Dec 21, 2005, registered Dec 20, 2005 (-1 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)

Signals

Charles Gordon Naismith left Stifel, Nicolaus & Company, Incorporated for Raymond James Financial Services Advisors, Inc (registered 2024-09-16)
Sep 26, 2024 · 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