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

Michael Rich Smith

The Patriot Financial Group, LLCindependent RIAOmaha, Ne IA-onlyIAPD 7801279

Feed of 09/15/2026

Also filed as Michael Rich Smith

At current firm

0 y

since Jun 4, 2026

In the industry

10 y

since Aug 1, 2016 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

The Patriot Financial Group, LLC independent RIA current
since Jun 4, 2026 · Lincoln, Ne
LPL Enterprise, LLC BD affiliated
Nov 14, 2025 to May 19, 2026 · Omaha, Ne
J.P. Morgan Securities LLC wirehouse
Jul 10, 2025 to Oct 22, 2025 · Riverton, Ut
Strategic Advisers LLC national BD
Mar 31, 2025 to Jun 6, 2025 · Salt Lake City, Ut
Fidelity Personal And Workplace Advisors former
Nov 13, 2024 to Mar 31, 2025 · Lehi, Ut

Moves

a registration end followed by a registration begin elsewhere

LPL Enterprise, LLC to The Patriot Financial Group, LLC
left May 19, 2026, registered Jun 4, 2026 (16 days) · Affiliated broker-dealer or bank to independent RIA
J.P. Morgan Securities LLC to LPL Enterprise, LLC
left Oct 22, 2025, registered Nov 14, 2025 (23 days) · Wirehouse to affiliated broker-dealer or bank
Strategic Advisers LLC to J.P. Morgan Securities LLC
left Jun 6, 2025, registered Jul 10, 2025 (34 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
Fidelity Personal And Workplace Advisors to Strategic Advisers LLC
left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move

Signals

Michael Rich Smith left Lpl Enterprise, Llc for The Patriot Financial Group, Llc (registered 2026-06-04)
May 19, 2026 · Advisor changed firm · fact
Michael Rich Smith left J.P. Morgan Securities Llc for Lpl Enterprise, Llc (registered 2025-11-14)
Oct 22, 2025 · Advisor changed firm · fact
Michael Rich Smith left Strategic Advisers Llc for J.P. Morgan Securities Llc (registered 2025-07-10)
Jun 6, 2025 · 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: 10derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address