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

Arrivals at Smart Investments Advisory Incorporated

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
Alec Bruce AbbottSquar Milner Financial Services, LLC independent RIASmart Investments Advisory Incorporated state registeredRIA to a state-registered adviserDec 22, 2020Apr 30, 2001
Jason Morgan PerkinsSquar Milner Financial Services, LLC independent RIASmart Investments Advisory Incorporated state registeredRIA to a state-registered adviserDec 22, 2020Apr 30, 2001
Alicia Christine ArciniegaWestern International Securities BD affiliatedSmart Investments Advisory Incorporated state registeredAffiliated broker-dealer or bank to a state-registered adviserJun 9, 2020Jan 1, 2025 (1667 d)
Roy Edward BennettWbb Securities, LLC state registeredSmart Investments Advisory Incorporated state registeredOtherAug 12, 2008Dec 8, 2006
Barrick Allyn SmartWbb Securities, LLC state registeredSmart Investments Advisory Incorporated state registeredOtherAug 12, 2008Jan 2, 2025 (5987 d)
Surya Joshua Kane MetzlerAmeriprise Financial Services, LLC national BDSmart Investments Advisory Incorporated state registeredAffiliated broker-dealer or bank to a state-registered adviserFeb 15, 2006Mar 22, 2006 (35 d)
Roy Edward BennettMorgan Stanley Dw Inc. unclassifiedSmart Investments Advisory Incorporated state registeredOtherAug 29, 2005Aug 18, 2005
Mauri Duane HendricksonMorgan Stanley Dw Inc. unclassifiedSmart Investments Advisory Incorporated state registeredOtherMay 2, 2005Apr 29, 2005
Richard Howard CaseWells Fargo Advisors wirehouseSmart Investments Advisory Incorporated state registeredWirehouse to a state-registered adviserFeb 28, 2005Oct 19, 2005 (233 d)
Debra Marcy Reda-CapposWells Fargo Advisors wirehouseSmart Investments Advisory Incorporated state registeredWirehouse to a state-registered adviserFeb 28, 2005Jul 28, 2005 (150 d)
Ronald David GoldmanWells Fargo Advisors wirehouseSmart Investments Advisory Incorporated state registeredWirehouse to a state-registered adviserFeb 28, 2005Aug 22, 2005 (175 d)
Blake Tramill ToddRBC Capital Markets, LLC national BDSmart Investments Advisory Incorporated state registeredAffiliated broker-dealer or bank to a state-registered adviserFeb 18, 2005Feb 28, 2005
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12 moves match.