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RIA / WealthAdvisorCertified Financial Planner12 years in industry

TAD ALAN HERRINGTON

Advisor at PDS PLANNING INC

DUBLIN, OH

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Search this name across graphsid dfx:ria:95dd0db2-b9d8-80dc-df0e-898d76abcb91

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 7:59 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 3
On other graphs: 0
Observed: May 16, 2014 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: PDS PLANNING INC
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: May 16, 2014earliest registration or exam on IAPD
Years in industry: 12derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner
Exams: S66
First exam: Jun 20, 2014
First registration: May 16, 2014
Dual registered: no
IAPD individual key: 5640586

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
PDS PLANNING INC	Independent wealth	Oct 10, 2025	n/a	yes	DUBLIN, OH	Current employment
GRAVER CAPITAL MANAGEMENT, LLC	Independent wealth	Jun 16, 2025	Jul 25, 2025	no	COLUMBUS, OH	Previous registration
SWS PARTNERS, LLC	Independent wealth	Jul 10, 2023	May 15, 2025	no	COLUMBUS, OH	Previous registration
CLARK ASSET MANAGEMENT, LLC	Independent wealth	Jun 2, 2021	Sep 8, 2022	no	STRATHAM, NH\|Powell, OH	Previous registration
JOHN E. SESTINA AND COMPANY	Independent wealth	Jun 29, 2016	Jun 1, 2021	no	COLUMBUS, OH	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	May 16, 2014	Apr 15, 2016	no	COLUMBUS, 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
GRAVER CAPITAL MANAGEMENT, LLC	PDS PLANNING INC	Jul 25, 2025	Oct 10, 2025	77	Firm change	RIA to RIA
SWS PARTNERS, LLC	GRAVER CAPITAL MANAGEMENT, LLC	May 15, 2025	Jun 16, 2025	32	Firm change	RIA to RIA
CLARK ASSET MANAGEMENT, LLC	SWS PARTNERS, LLC	Sep 8, 2022	Jul 10, 2023	305	Firm change	RIA to RIA
JOHN E. SESTINA AND COMPANY	CLARK ASSET MANAGEMENT, LLC	Jun 1, 2021	Jun 2, 2021	1	Firm change	RIA to RIA
UBS FINANCIAL SERVICES INC.	JOHN E. SESTINA AND COMPANY	Apr 15, 2016	Jun 29, 2016	75	Firm change	Other

Relationships

Registered with (6)

→ PDS PLANNING INCRegistered adviserregistration: current employment
Oct 10, 2025 to presentfactForm ADV
→ GRAVER CAPITAL MANAGEMENT, LLCRegistered adviserregistration: previous registration
Jun 16, 2025 to Jul 25, 2025factForm ADV
→ SWS PARTNERS, LLCRegistered adviserregistration: previous registration
Jul 10, 2023 to May 15, 2025factForm ADV
→ CLARK ASSET MANAGEMENT, LLCRegistered adviserregistration: previous registration
Jun 2, 2021 to Sep 8, 2022factForm ADV
→ JOHN E. SESTINA AND COMPANYRegistered adviserregistration: previous registration
Jun 29, 2016 to Jun 1, 2021factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
May 16, 2014 to Apr 15, 2016factForm ADV

Dated events

Occurred
Jul 25, 2025
Advisor changed firm
Tad Alan Herrington left Graver Capital Management, Llc for Pds Planning Inc (registered 2025-10-10)
Form ADVobserved 4 days ago
Occurred
May 15, 2025
Advisor changed firm
Tad Alan Herrington left Sws Partners, Llc for Graver Capital Management, Llc (registered 2025-06-16)
Form ADVobserved 4 days ago
Occurred
Sep 8, 2022
Advisor changed firm
Tad Alan Herrington left Clark Asset Management, Llc for Sws Partners, Llc (registered 2023-07-10)
Form ADVobserved 4 days ago