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
Kevin James Smith
Feed of 09/15/2026
Also filed as Kevin Smith
At current firm
0 y
since Jan 23, 2026
In the industry
18 y
since Sep 5, 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
- Discipline Wealth Solutions, Inc. independent RIA currentsince Jan 23, 2026 · Hixson, Tn
- Osaic Wealth, Inc. BD affiliatedJun 14, 2024 to Jan 27, 2026 · Hampton, Va
- Securities America Advisors, Inc. formerMar 1, 2018 to Jun 14, 2024 · Aurora, Il
- Equitable Advisors, LLC national BDJun 30, 2011 to Jan 15, 2015 · Oak Brook, Il
- UBS Financial Services Inc. wirehouseSep 5, 2008 to Mar 12, 2010 · Chicago, Il
Moves
a registration end followed by a registration begin elsewhere
- Osaic Wealth, Inc. to Discipline Wealth Solutions, Inc.left Jan 27, 2026, registered Jan 23, 2026 (-4 days) · Affiliated broker-dealer or bank to independent RIA
- Securities America Advisors, Inc. to Osaic Wealth, Inc.left Jun 14, 2024, registered Jun 14, 2024 (0 days) · corporate re-registration, not a move
- Equitable Advisors, LLC to Securities America Advisors, Inc.left Jan 15, 2015, registered Mar 1, 2018 (1141 days) · Other
- UBS Financial Services Inc. to Equitable Advisors, LLCleft Mar 12, 2010, registered Jun 30, 2011 (475 days) · Wirehouse to affiliated broker-dealer or bank
Signals
- Kevin James Smith left Osaic Wealth, Inc. for Discipline Wealth Solutions, Inc. (registered 2026-01-23)Jan 27, 2026 · 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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address