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 W.A. Smith Financial Group
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 |
|---|---|---|---|---|---|
| Damon Gregory Lee | Mariner BD affiliated | W.A. Smith Financial Group independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 31, 2025 | Apr 22, 2025 |
| Matthew Brian Miller | Fisher Investments independent RIA | W.A. Smith Financial Group independent RIA | RIA to RIA | Jul 24, 2024 | Apr 15, 2025 (265 d) |
| Brandon M Schaefer | Thrivent Investment Management Inc. BD affiliated | W.A. Smith Financial Group independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 16, 2024 | Jun 11, 2025 (330 d) |
| David H Coletto | LPL Financial LLC BD affiliated | W.A. Smith Financial Group independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 20, 2023 | Nov 11, 2023 (52 d) |
| Zachary Adam Bush | J.P. Morgan Securities LLC wirehouse | W.A. Smith Financial Group independent RIA | Wirehouse to independent RIA | Jan 4, 2022 | May 31, 2022 (147 d) |
| Nathaniel Steven Fockler | UBS Financial Services Inc. wirehouse | W.A. Smith Financial Group independent RIA | Wirehouse to independent RIA | Feb 17, 2021 | Sep 23, 2021 (218 d) |
| Jacob D Kinsley | Pnc Wealth Management BD affiliated | W.A. Smith Financial Group independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 3, 2020 | Mar 24, 2021 (202 d) |
| Peter Szklarz | Pnc Wealth Management BD affiliated | W.A. Smith Financial Group other | Other | Feb 21, 2018 | Mar 13, 2018 |
| William Allen Smith | Great Lakes Benefits And Wealth Management state registered | W.A. Smith Financial Group other | Other | Jul 30, 2008 | Apr 22, 2008 |
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9 moves match.