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 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.
| Advisor | From | To | Type | Left | Registered |
|---|---|---|---|---|---|
| Brian Patrick Rongey | Stifel Independent Advisors, LLC BD affiliated | Smith Moore & Co. BD affiliated | Affiliated broker-dealer or bank to another | Aug 25, 2026 | Sep 1, 2026 |
| Thaddaeus Daniel Allen | Edward Jones national BD | Smith Moore & Co. independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 15, 2022 | Aug 12, 2022 |
| Hope L Gerdes | Edward Jones national BD | Smith Moore & Co. independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 6, 2022 | Jun 13, 2022 |
| Kyle Shaw | Stifel, Nicolaus & Company, Incorporated national BD | Smith Moore & Co. independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 21, 2022 | Apr 25, 2022 |
| Alex Cameron Lecure | Huntleigh Advisors, Inc. BD affiliated | Smith Moore & Co. independent RIA | Affiliated broker-dealer or bank to independent RIA | May 27, 2021 | Aug 31, 2021 (96 d) |
| Matthew Edward Bragg | LPL Financial LLC BD affiliated | Smith Moore & Co. independent RIA | Affiliated broker-dealer or bank to independent RIA | May 18, 2021 | Apr 29, 2021 |
| Timothy Harlan Borman | Cetera Investment Advisers LLC BD affiliated | Smith Moore & Co. independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 5, 2021 | Feb 5, 2021 |
| Aaron J Rigdon | Cetera Investment Advisers LLC BD affiliated | Smith Moore & Co. independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 5, 2021 | Feb 5, 2021 |
| Thomas Hugh Lee | Raymond James Financial Services Advisors, Inc BD affiliated | Smith Moore & Co. independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 12, 2020 | Mar 23, 2020 |
| Mylan James Anderson | Raymond James Financial Services Advisors, Inc BD affiliated | Smith Moore & Co. independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 12, 2020 | Mar 6, 2020 |
| Todd William Barnthouse | Raymond James Financial Services Advisors, Inc BD affiliated | Smith Moore & Co. BD affiliated | Affiliated broker-dealer or bank to another | Mar 12, 2020 | Jan 1, 2025 (1756 d) |
| Jaret Dalin Perryman | Ssn Advisory, Inc. BD affiliated | Smith Moore & Co. independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 8, 2019 | Jun 25, 2019 (78 d) |
| Christina Sue Hake | Saxony Capital Management, LLC independent RIA | Smith Moore & Co. independent RIA | RIA to RIA | Dec 31, 2018 | Dec 21, 2018 |
| Ian Fine Rothbarth | Wells Fargo Advisors wirehouse | Smith Moore & Co. other | Other | Mar 21, 2018 | Mar 15, 2018 |
| Kristin Diane Sullivan | Scottrade Investment Management BD affiliated | Smith Moore & Co. other | Other | Jan 24, 2018 | Feb 26, 2018 (33 d) |
| Donna Lumpkin Zoeller | Waddell & Reed other | Smith Moore & Co. other | Other | May 31, 2017 | May 31, 2017 |
| Kipp Alan Noe | U.S. Bancorp Investments, Inc. other | Smith Moore & Co. other | Other | Aug 29, 2016 | Sep 22, 2016 |
| Gregory Howard Bray | Alton Capital Management, Inc. other | Smith Moore & Co. other | Other | Mar 29, 2016 | Oct 28, 2015 |
| Troy Andrew Van Rie | U.S. Bancorp Investments, Inc. other | Smith Moore & Co. other | Other | Jan 20, 2016 | Jan 21, 2016 |
| Kevin Michael Carter | Oppenheimer & Co. Inc. other | Smith Moore & Co. other | Other | Mar 16, 2015 | Mar 13, 2015 |
| David Michael Apted | Uhy Capital Advisors, LLC unclassified | Smith Moore & Co. other | Other | Jun 18, 2013 | Jun 19, 2013 |
| Kevin James Whitehead | Wells Fargo Advisors wirehouse | Smith Moore & Co. other | Other | Apr 4, 2013 | Jun 3, 2013 (60 d) |
| Susan Michelle Windish | Edward Jones national BD | Smith Moore & Co. other | Other | Mar 6, 2013 | Feb 22, 2013 |
| Joseph G Mcculloch | Smart401k, LLC other | Smith Moore & Co. other | Other | Jun 13, 2012 | Jan 15, 2013 (216 d) |
| Matthew Douglas Priest | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Smith Moore & Co. other | Other | Nov 16, 2011 | Nov 15, 2011 |
| Kent Charles Schmidt | Wells Fargo Advisors wirehouse | Smith Moore & Co. other | Other | Aug 11, 2009 | Aug 10, 2009 |
| Douglas Michael Schultz | Wells Fargo Advisors wirehouse | Smith Moore & Co. other | Other | Aug 3, 2009 | Jul 31, 2009 |
| David Joseph Przybylski | Morgan Stanley wirehouse | Smith Moore & Co. other | Other | Jul 1, 2009 | Jun 30, 2009 |
| Randall Paul Rhyner | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Smith Moore & Co. other | Other | Jun 10, 2009 | Jun 9, 2009 |
| William John Pohrer | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Smith Moore & Co. other | Other | Feb 2, 2009 | Jan 30, 2009 |
| Heather J Taylor | Morgan Stanley & Co. LLC unclassified | Smith Moore & Co. other | Other | Aug 4, 2008 | Sep 4, 2008 (31 d) |
| Dean Elvin Williams | UBS Financial Services Inc. wirehouse | Smith Moore & Co. other | Other | Jun 26, 2008 | Jun 18, 2008 |
| Daniel Phillip Feichtner | Morgan Keegan & Company, LLC other | Smith Moore & Co. other | Other | Mar 24, 2008 | Mar 20, 2008 |
| Charles William Heil | R.T. Jones Capital Equities, Inc. unclassified | Smith Moore & Co. other | Other | Mar 24, 2004 | Mar 29, 2004 |
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34 moves match.