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 Brothers Financial, LLC
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 |
|---|---|---|---|---|---|
| Ashley L. Winn | Cetera Advisors LLC BD affiliated | Smith Brothers Financial, LLC other | Other | Apr 18, 2023 | May 2, 2023 |
| Andrea Elizabeth Camoin | M Holdings Securities, Inc. BD affiliated | Smith Brothers Financial, LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Jan 17, 2023 | Jan 5, 2023 |
| Jeffrey Giantonio | Woodbury Financial Services, Inc. BD affiliated | Smith Brothers Financial, LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Oct 13, 2022 | Oct 11, 2022 |
| Stephen Robert Michaels | Woodbury Financial Services, Inc. BD affiliated | Smith Brothers Financial, LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Oct 13, 2022 | Oct 11, 2022 |
| Joseph Brian Smith | LPL Financial LLC independent RIA | Smith Brothers Financial, LLC no RAUM | RIA to a newly registered adviser | Oct 11, 2022 | Oct 11, 2022 |
| Timothy Howard Prewitt | Principal Securities, Inc. other | Smith Brothers Financial, LLC no RAUM | Other | Apr 2, 2014 | Nov 18, 2022 (3152 d) |
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6 moves match.