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
Shannon Ferrell Smith
Feed of 09/15/2026
Also filed as Shannon Smith
At current firm
2 y
since Nov 28, 2023
In the industry
20 y
since Mar 6, 2006 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
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
- Intrua Financial independent RIA currentsince Nov 28, 2023 · Greenfield, Wi
- Freedom Wealth Alliance formerMay 16, 2014 to Dec 12, 2023 · Brookfield, Wi
- Wells Fargo Advisors wirehouseJan 4, 2011 to May 16, 2014 · Brookfield, Wi
- Morgan Stanley wirehouseJun 1, 2009 to Jan 12, 2011 · Waukesha, Wi
- Morgan Stanley & Co. LLC unclassifiedApr 2, 2007 to Jun 1, 2009 · Wauwatosa, Wi
- Morgan Stanley Dw Inc. unclassifiedApr 13, 2006 to Apr 2, 2007 · Wauwatosa, Wi
Moves
a registration end followed by a registration begin elsewhere
- Freedom Wealth Alliance to Intrua Financialleft Dec 12, 2023, registered Nov 28, 2023 (-14 days) · RIA to RIA · moved with a team
- Wells Fargo Advisors to Freedom Wealth Allianceleft May 16, 2014, registered May 16, 2014 (0 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
- Morgan Stanley to Wells Fargo Advisorsleft Jan 12, 2011, registered Jan 4, 2011 (-8 days) · Wirehouse to wirehouse
- Morgan Stanley & Co. LLC to Morgan Stanleyleft Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- Morgan Stanley Dw Inc. to Morgan Stanley & Co. LLCleft Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
Signals
- Shannon Ferrell Smith left Freedom Wealth Alliance for Intrua Financial (registered 2023-11-28)Dec 12, 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
- Independent wealth managerderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address