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.

Advisor moves

Departures from Smith Moore & Co.

A move is two dates on IAPD: the day a person’s registration through one firm ended and the day a registration through another began. The type reads the class of each firm. This is the movement tape the mobility research is validated against; it says what happened, never why, and never who is about to.

AdvisorFromToTypeLeftRegistered
Thaddaeus Daniel AllenSmith Moore & Co. BD affiliatedLPL Enterprise, LLC BD affiliatedAffiliated broker-dealer or bank to anotherDec 23, 2025Dec 1, 2025
Daniel Joseph AllenSmith Moore & Co. BD affiliatedLPL Enterprise, LLC BD affiliatedAffiliated broker-dealer or bank to anotherDec 23, 2025Dec 1, 2025
Debra A MeierSmith Moore & Co. independent RIAMorgan Stanley wirehouseRIA to wirehouseSep 21, 2023Nov 9, 2023 (49 d)
John W. BriscoeSmith Moore & Co. independent RIAConvergence Financial no RAUMRIA to a newly registered adviserSep 27, 2019Sep 27, 2019
Kristin Diane SullivanSmith Moore & Co. independent RIALarson Financial Group, LLC independent RIARIA to RIAMay 3, 2019May 6, 2019
Gregory Mark FrankSmith Moore & Co. independent RIALPL Financial LLC independent RIARIA to RIAJan 11, 2019Dec 14, 2018
Maxwell Jared SynonSmith Moore & Co. independent RIACommerce Brokerage Services, Inc independent RIARIA to RIAJan 11, 2019Jan 16, 2019
Daniel Alan FuhrigSmith Moore & Co. independent RIAMoneta Group Investment Advisors, LLC independent RIARIA to RIANov 21, 2018May 10, 2019 (170 d)
Matthew Douglas PriestSmith Moore & Co. independent RIARaymond James Financial Services Advisors, Inc BD affiliatedRIA to affiliated broker-dealer or bankSep 13, 2018Aug 15, 2018
James Charles StathisSmith Moore & Co. independent RIARaymond James Financial Services Advisors, Inc BD affiliatedRIA to affiliated broker-dealer or bankSep 13, 2018Aug 15, 2018
Daniel Phillip FeichtnerSmith Moore & Co. otherOppenheimer & Co. Inc. otherOtherNov 30, 2017Dec 18, 2017
Mark David HouseSmith Moore & Co. otherMoloney Securities Asset Management LLC otherOtherAug 30, 2017Jul 31, 2017
Derrick Allen BraunerSmith Moore & Co. otherMoloney Securities Asset Management LLC otherOtherAug 30, 2017Jul 31, 2017
Adam James MaherSmith Moore & Co. otherMoloney Securities Asset Management LLC otherOtherAug 30, 2017Jul 31, 2017
Kevin Michael CarterSmith Moore & Co. otherAllstate Financial Advisors, LLC no RAUMOtherMay 31, 2016Apr 26, 2017 (330 d)
David Michael AptedSmith Moore & Co. otherAvellino Financial Advisors, Inc. otherOtherApr 8, 2016Jul 15, 2016 (98 d)
Ricky Fletcher RileySmith Moore & Co. otherCambridge Investment Research Advisors, Inc. otherOtherDec 1, 2015Nov 2, 2015
Kevin James WhiteheadSmith Moore & Co. otherTd Ameritrade Investment Management, LLC otherOtherSep 9, 2015Sep 9, 2015
Joseph G MccullochSmith Moore & Co. otherMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseOtherApr 7, 2014Apr 14, 2014
Susan Michelle WindishSmith Moore & Co. otherEdward Jones national BDOtherAug 12, 2013Oct 3, 2013 (52 d)
William John PohrerSmith Moore & Co. otherKrilogy otherOtherJun 10, 2013Jun 10, 2013
Christopher Frederick EfferSmith Moore & Co. otherMorgan Stanley wirehouseOtherJan 2, 2013Jun 27, 2013 (176 d)
Charles William HeilSmith Moore & Co. otherMoloney Securities Co., Inc. otherOtherDec 11, 2012Dec 13, 2012
Geoffrey Gene RussellSmith Moore & Co. otherPinnacle Family Advisors, LLC otherOtherJul 13, 2012Aug 16, 2012 (34 d)
Phillip Dwane NewsomeSmith Moore & Co. otherStifel, Nicolaus & Company, Incorporated national BDOtherNov 21, 2011Nov 14, 2011
Heather J TaylorSmith Moore & Co. otherWells Fargo Advisors wirehouseOtherJan 11, 2010Nov 16, 2010 (309 d)
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26 moves match.