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

Sean Brian Smith

LPL Financial LLCBD affiliatedHonolulu, Hidual registrantIAPD 5941933

Feed of 09/14/2026

At current firm

2 y

since May 6, 2024

In the industry

14 y

since Dec 16, 2011 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

LPL Financial LLC BD affiliated current
since May 6, 2024 · Honolulu, Hi
Strategic Blueprint, LLC independent RIA
Jul 17, 2023 to May 7, 2024 · Honolulu, Hi
The Strategic Financial Alliance BD affiliated
Jan 2, 2020 to May 7, 2024 · Honolulu, Hi
Cambridge Investment Research Advisors, Inc. BD affiliated
Apr 17, 2018 to Dec 31, 2019 · Honolulu, Hi
Signator Investors, Inc. former
Sep 30, 2016 to Apr 23, 2018 · Scottsdale, Az
MML Investors Services, LLC BD affiliated
Mar 18, 2016 to Oct 10, 2016 · Honolulu, Hi

Moves

a registration end followed by a registration begin elsewhere

The Strategic Financial Alliance to Strategic Blueprint, LLC
left May 7, 2024, registered Jul 17, 2023 (-295 days) · Affiliated broker-dealer or bank to independent RIA
Strategic Blueprint, LLC to LPL Financial LLC
left May 7, 2024, registered May 6, 2024 (-1 days) · RIA to affiliated broker-dealer or bank
Cambridge Investment Research Advisors, Inc. to The Strategic Financial Alliance
left Dec 31, 2019, registered Jan 2, 2020 (2 days) · Affiliated broker-dealer or bank to another
Signator Investors, Inc. to Cambridge Investment Research Advisors, Inc.
left Apr 23, 2018, registered Apr 17, 2018 (-6 days) · Affiliated broker-dealer or bank to another · moved with a team
MML Investors Services, LLC to Signator Investors, Inc.
left Oct 10, 2016, registered Sep 30, 2016 (-10 days) · Other · moved with a team

Signals

Sean Brian Smith left Strategic Blueprint, Llc for Lpl Financial Llc (registered 2024-05-06)
May 7, 2024 · Advisor changed firm · fact
Sean Brian Smith left The Strategic Financial Alliance for Strategic Blueprint, Llc (registered 2023-07-17)
May 7, 2024 · 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: 14derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address