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 Smith Hayes Advisers Inc

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.

Advisor	From	To	Type	Left	Registered
Mark Christopher Mueller	Orion Portfolio Solutions, LLC other	Smith Hayes Advisers Inc other	Other	Dec 1, 2014	Dec 17, 2014
Tad Allen Singer	Cwm, LLC other	Smith Hayes Advisers Inc other	Other	Sep 17, 2014	Sep 19, 2014
Steven Eugene Wilbur	Cwm, LLC other	Smith Hayes Advisers Inc other	Other	Sep 17, 2014	Sep 19, 2014
Jennifer L Johnson	Ameritas Advisory Services other	Smith Hayes Advisers Inc other	Other	Jun 23, 2014	Jun 27, 2014
Katherin Leigh Jones	Td Ameritrade Investment Management, LLC other	Smith Hayes Advisers Inc other	Other	May 12, 2014	May 12, 2014
Jeffrey Thomas Peters	RBC Capital Markets, LLC national BD	Smith Hayes Advisers Inc other	Other	Jul 1, 2013	Jul 9, 2013
Audrey Lynn Mines	Ameritas Advisory Services other	Smith Hayes Advisers Inc other	Other	Mar 1, 2012	Mar 12, 2012
Brandon Michael Mann	Securities America Advisors, Inc. other	Smith Hayes Advisers Inc other	Other	Apr 21, 2010	May 11, 2010
Jeffrey Michael Semrad	Wells Fargo Advisors wirehouse	Smith Hayes Advisers Inc other	Other	Mar 30, 2009	Apr 2, 2009
Michael Eugene Peterson	Citigroup Global Markets Inc. other	Smith Hayes Advisers Inc other	Other	Nov 30, 2006	Nov 30, 2006
Jake Eugene Mckee	New England Securities Corporation other	Smith Hayes Advisers Inc other	Other	Mar 28, 2006	Apr 3, 2006
Mark Alan Smith	Smith Darryl D Co Inc unclassified	Smith Hayes Advisers Inc other	Other	Jan 26, 2004	Jul 23, 2004 (179 d)
Michael Ryan Harm	Waddell & Reed other	Smith Hayes Advisers Inc other	Other	Dec 31, 2003	Feb 10, 2004 (41 d)
Shannon Melissa Linder	Waddell & Reed other	Smith Hayes Advisers Inc other	Other	Sep 29, 2003	Oct 3, 2003

Page 1 of 1

14 moves match.