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
Jeffrey Brian Smits
Feed of 09/14/2026
At current firm
3 y
since Jul 5, 2023
In the industry
18 y
since Jun 9, 2008 (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
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
- Wedbush Securities Inc. BD affiliated currentsince Jul 5, 2023 · Newport Beach, Ca
- Edward Jones national BDMar 28, 2016 to Jul 7, 2023 · Eagle, Id
- Stifel, Nicolaus & Company, Incorporated national BDOct 30, 2009 to Mar 4, 2016 · Mission Viejo, Ca
- Morgan Stanley wirehouseJun 1, 2009 to Nov 2, 2009 · Laguna Niguel, Ca
- Morgan Stanley & Co. LLC unclassifiedJun 10, 2008 to Jun 1, 2009 · Laguna Woods, Ca
Moves
a registration end followed by a registration begin elsewhere
- Edward Jones to Wedbush Securities Inc.left Jul 7, 2023, registered Jul 5, 2023 (-2 days) · Affiliated broker-dealer or bank to another
- Stifel, Nicolaus & Company, Incorporated to Edward Jonesleft Mar 4, 2016, registered Mar 28, 2016 (24 days) · Affiliated broker-dealer or bank to another
- Morgan Stanley to Stifel, Nicolaus & Company, Incorporatedleft Nov 2, 2009, registered Oct 30, 2009 (-3 days) · Wirehouse to affiliated broker-dealer or bank
- Morgan Stanley & Co. LLC to Morgan Stanleyleft Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
Signals
- Jeffrey Brian Smits left Edward Jones for Wedbush Securities Inc. (registered 2023-07-05)Jul 7, 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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address