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.
Feed of 09/14/2026
Also filed as Wade Scott Schmidt
At current firm
1 y
since Jul 3, 2025
In the industry
18 y
since Feb 1, 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, S63
IA exams only
Book size
not public
not estimated here
Signals
3
dated events on this person
Registration history
IAPD current and previous registrations
- Mma Securities LLC no RAUM currentsince Jul 3, 2025 · Charlotte, Nc
- Voya Retirement Advisors, LLC otherFeb 20, 2025 to Apr 25, 2025 · Windsor, Ct
- Oneamerica Securities, Inc. BD affiliatedJun 9, 2022 to Feb 8, 2025 · Matthews, Nc
- Independent Advisor Alliance, LLC independent RIAJul 1, 2020 to May 26, 2022 · Charlotte, Nc
- Edward Jones national BDAug 29, 2018 to Feb 5, 2019 · Matthews, Nc
Moves
a registration end followed by a registration begin elsewhere
- Voya Retirement Advisors, LLC to Mma Securities LLCleft Apr 25, 2025, registered Jul 3, 2025 (69 days) · Other
- Oneamerica Securities, Inc. to Voya Retirement Advisors, LLCleft Feb 8, 2025, registered Feb 20, 2025 (12 days) · Other · moved with a team
- Independent Advisor Alliance, LLC to Oneamerica Securities, Inc.left May 26, 2022, registered Jun 9, 2022 (14 days) · RIA to affiliated broker-dealer or bank
- Edward Jones to Independent Advisor Alliance, LLCleft Feb 5, 2019, registered Jul 1, 2020 (512 days) · Affiliated broker-dealer or bank to independent RIA
Signals
- Wade S Schmidt left Voya Retirement Advisors, Llc for Mma Securities Llc (registered 2025-07-03)Apr 25, 2025 · Advisor changed firm · fact
- Wade S Schmidt left Oneamerica Securities, Inc. for Voya Retirement Advisors, Llc (registered 2025-02-20)Feb 8, 2025 · Advisor changed firm · fact
- Wade S Schmidt left Independent Advisor Alliance, Llc for Oneamerica Securities, Inc. (registered 2022-06-09)May 26, 2022 · 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
- No RAUM reportedderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address