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
Robert Michael Smith
Feed of 09/14/2026
At current firm
3 y
since Jun 29, 2023
In the industry
35 y
since Dec 5, 1990 (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
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Cetera Investment Advisers LLC BD affiliated currentsince Jun 29, 2023 · Canonsburg, Pa
- Vantage Financial Group, Inc. independent RIAOct 24, 2011 to Dec 31, 2016 · Canonsburg, Pa
- Walnut Street Securities, Inc. formerJul 19, 2007 to Sep 3, 2013 · Canonsburg, Pa
- Southpointe Financial Services unclassifiedAug 26, 1998 to Nov 16, 2009 · Canonsburg, Pa
- Walnut Street Advisers Inc unclassifiedFeb 2, 1998 to Nov 3, 2006 · Canonsburg, Pa
Moves
a registration end followed by a registration begin elsewhere
- Vantage Financial Group, Inc. to Cetera Investment Advisers LLCleft Dec 31, 2016, registered Jun 29, 2023 (2371 days) · Other · moved with a team
- Walnut Street Securities, Inc. to Vantage Financial Group, Inc.left Sep 3, 2013, registered Oct 24, 2011 (-680 days) · Other
- Southpointe Financial Services to Walnut Street Securities, Inc.left Nov 16, 2009, registered Jul 19, 2007 (-851 days) · Other
- Walnut Street Advisers Inc to Southpointe Financial Servicesleft Nov 3, 2006, registered Aug 26, 1998 (-2991 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address