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RIA / WealthAdvisorCertified Financial Planner21 years in industry

JOHN MICHAEL RUBY

Advisor at MAI CAPITAL MANAGEMENT, LLC

CLEVELAND, OH

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Search this name across graphsid dfx:ria:140cc75b-20e8-80a5-c757-fa752050b2df

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 8:21 PM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 0
On other graphs: 0
Observed: Jul 14, 2005 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: MAI CAPITAL MANAGEMENT, LLC
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jul 13, 2005earliest registration or exam on IAPD
Years in industry: 21derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 7
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner
Exams: S66
First exam: Jul 13, 2005
First registration: Jul 14, 2005
Dual registered: no
Other names: JOHN M RUBY|JOHN RUBY
IAPD individual key: 4978055

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
MAI CAPITAL MANAGEMENT, LLC	Independent wealth	Jan 3, 2019	n/a	yes	CLEVELAND, OH	Current employment
MERCER GLOBAL ADVISORS INC.	Independent wealth	Sep 8, 2015	Sep 27, 2018	no	COLUMBUS, OH\|Westerville, OH	Previous registration
FIFTH THIRD SECURITIES, INC.	Bd affiliated wealth	Nov 19, 2014	Sep 14, 2015	no	CLEVELAND, OH\|CLEVELAND, OH\|CLEVELAND, OH\|Mentor, OH\|CHARDON, OH\|CLEVELAND HTS., OH\|CLEVELAND, OH	Previous registration
EDWARD JONES	National bd RIA	May 31, 2011	Nov 18, 2014	no	SOLON, OH	Previous registration
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Former SEC adviser	Nov 19, 2008	May 23, 2011	no	BEACHWOOD, OH	Previous registration
TD AMERITRADE, INC.	Former SEC adviser	Nov 19, 2008	May 23, 2011	no	Orange Village, OH	Previous registration
NATCITY INVESTMENTS, INC.	n/a	Sep 7, 2007	Nov 20, 2008	no	AKRON, OH\|CUYAHOGA FALLS, OH\|CLEVELAND, OH	Previous registration
MORGAN STANLEY DW INC.	n/a	Jul 14, 2005	Oct 19, 2005	no	AKRON, OH	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
MERCER GLOBAL ADVISORS INC.	MAI CAPITAL MANAGEMENT, LLC	Sep 27, 2018	Jan 3, 2019	98	Firm change	RIA to RIA
FIFTH THIRD SECURITIES, INC.	MERCER GLOBAL ADVISORS INC.	Sep 14, 2015	Sep 8, 2015	-6	Firm change	Other
EDWARD JONES	FIFTH THIRD SECURITIES, INC.	Nov 18, 2014	Nov 19, 2014	1	Firm change	Other
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	TD AMERITRADE, INC.	May 23, 2011	Nov 19, 2008	-915	Channel change	Other
TD AMERITRADE, INC.	EDWARD JONES	May 23, 2011	May 31, 2011	8	Firm change	Other
NATCITY INVESTMENTS, INC.	TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Nov 20, 2008	Nov 19, 2008	-1	Firm change	Other
MORGAN STANLEY DW INC.	NATCITY INVESTMENTS, INC.	Oct 19, 2005	Sep 7, 2007	688	Firm change after gap	Other

Relationships

Registered with (8)

→ MAI CAPITAL MANAGEMENT, LLCRegistered adviserregistration: current employment
Jan 3, 2019 to presentfactForm ADV
→ MERCER GLOBAL ADVISORS INC.Registered adviserregistration: previous registration
Sep 8, 2015 to Sep 27, 2018factForm ADV
→ FIFTH THIRD SECURITIES, INC.Registered adviserregistration: previous registration
Nov 19, 2014 to Sep 14, 2015factForm ADV
→ EDWARD JONESRegistered adviserregistration: previous registration
May 31, 2011 to Nov 18, 2014factForm ADV
→ TD AMERITRADE INVESTMENT MANAGEMENT, LLCRegistered adviserregistration: previous registration
Nov 19, 2008 to May 23, 2011factForm ADV
→ TD AMERITRADE, INC.Registered adviserregistration: previous registration
Nov 19, 2008 to May 23, 2011factForm ADV
→ NATCITY INVESTMENTS, INC.Registered adviserregistration: previous registration
Sep 7, 2007 to Nov 20, 2008factForm ADV
→ MORGAN STANLEY DW INC.Registered adviserregistration: previous registration
Jul 14, 2005 to Oct 19, 2005factForm ADV

Dated events

No dated event names this entity yet.