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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Registered advisor

C••••••••• S••••

C••••••• S••••••••• I•••BD affiliatedJohnston, Ri dual registrantIAPD 6985727

Certified Financial Planner

Feed of 09/15/2026

Also filed as Christopher S. Smith

At current firm

1 y

since May 27, 2025

In the industry

13 y

since Sep 1, 2013 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

C••••••• S••••••••• I••• BD affiliated current
since May 27, 2025 · Shrewsbury, Ma
S•••••••• A••••••• L•• national BD
Mar 31, 2025 to Jun 12, 2025 · Boston, Ma
F••••••• P••••••• A•• W•••••••• A••••••• former
Oct 18, 2022 to Mar 31, 2025 · Littleton, Ma
C••••••• S••••••••• I••• BD affiliated
Aug 7, 2019 to Aug 3, 2022 · Littleton, Ma
F••••• I••• independent RIA
Mar 26, 2019 to Jun 4, 2019 · Westborough, Ma
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Oct 24, 2018 to Mar 20, 2019 · Riverside, Ri

Moves

a registration end followed by a registration begin elsewhere

S•••••••• A••••••• L•• to C••••••• S••••••••• I•••
left Jun 12, 2025, registered May 27, 2025 (-16 days) · Affiliated broker-dealer or bank to another
F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••
left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
C••••••• S••••••••• I••• to F••••••• P••••••• A•• W•••••••• A•••••••
left Aug 3, 2022, registered Oct 18, 2022 (76 days) · Affiliated broker-dealer or bank to another
F••••• I••• to C••••••• S••••••••• I•••
left Jun 4, 2019, registered Aug 7, 2019 (64 days) · RIA to affiliated broker-dealer or bank
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to F••••• I•••
left Mar 20, 2019, registered Mar 26, 2019 (6 days) · Wirehouse to independent RIA

Signals

C••••••••• S•••• left S•••••••• A••••••• L•• for C••••••• S••••••••• I••• (registered 2025-05-27)
Jun 12, 2025 · Advisor changed firm · fact
C••••••••• S•••• left C••••••• S••••••••• I••• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2022-10-18)
Aug 3, 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: Broker-dealer affiliated wealth managerderived
Years in industry: 13derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address