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
Andrea N. Smalley
Feed of 09/14/2026
Also filed as Andrea Nicole Clark
At current firm
1 y
since Mar 31, 2025
In the industry
20 y
since Jul 12, 2006 (earliest exam, job or registration)
Prior registered firms
6
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Strategic Advisers LLC national BD currentsince Mar 31, 2025 · Orange, Tx
- Fidelity Personal And Workplace Advisors formerMay 10, 2023 to Mar 31, 2025 · Orange, Tx
- Fidelity Personal And Workplace Advisors formerAug 9, 2021 to May 15, 2022 · Colorado Springs, Co
- Portfolio Medics, LLC independent RIASep 18, 2020 to Jun 14, 2021 · Colorado Springs, Co
- Edward Jones national BDJul 3, 2019 to Aug 3, 2020 · Colorado Springs, Co
- Chase Investment Services Corp. formerMay 15, 2008 to Mar 6, 2009 · Universal City, Tx
- Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseNov 16, 2007 to May 6, 2008 · Galveston, Tx
Moves
a registration end followed by a registration begin elsewhere
- Fidelity Personal And Workplace Advisors to Strategic Advisers LLCleft Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- Portfolio Medics, LLC to Fidelity Personal And Workplace Advisorsleft Jun 14, 2021, registered Aug 9, 2021 (56 days) · RIA to affiliated broker-dealer or bank
- Edward Jones to Portfolio Medics, LLCleft Aug 3, 2020, registered Sep 18, 2020 (46 days) · Affiliated broker-dealer or bank to independent RIA
- Chase Investment Services Corp. to Edward Jonesleft Mar 6, 2009, registered Jul 3, 2019 (3771 days) · Other
- Merrill Lynch, Pierce, Fenner & Smith Incorporated to Chase Investment Services Corp.left May 6, 2008, registered May 15, 2008 (9 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
- National broker-dealer RIAderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address