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 Jason Smith
At current firm
8 y
since Nov 15, 2017
In the industry
13 y
since Feb 8, 2013 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Edward Jones national BD currentsince Nov 15, 2017 · Freeburg, Il
- Commerce Brokerage Services, Inc formerSep 22, 2015 to Nov 14, 2017 · Clayton, Mo
- First Brokerage America, L.L.C. unclassifiedApr 7, 2014 to Jul 23, 2015 · Clayton, Mo
- Waddell & Reed formerFeb 13, 2014 to Apr 15, 2014 · Edmond, Ok
- Edward Jones national BDFeb 14, 2013 to Oct 16, 2013 · Maryland Heights, Mo
Moves
a registration end followed by a registration begin elsewhere
- Commerce Brokerage Services, Inc to Edward Jonesleft Nov 14, 2017, registered Nov 15, 2017 (1 days) · Other
- First Brokerage America, L.L.C. to Commerce Brokerage Services, Incleft Jul 23, 2015, registered Sep 22, 2015 (61 days) · Other
- Waddell & Reed to First Brokerage America, L.L.C.left Apr 15, 2014, registered Apr 7, 2014 (-8 days) · Other
- Edward Jones to Waddell & Reedleft Oct 16, 2013, registered Feb 13, 2014 (120 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
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address