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RIA / WealthAdvisorCertified Financial Planner|Chartered Financial Analyst33 years in industry

THOMAS JOSEPH LALLEY

Advisor at MAI CAPITAL MANAGEMENT, LLC

Cincinnati, OH

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:ab72a68e-fd82-317a-9e4f-500187657893

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:51 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 1
Observed: Nov 16, 2001 to Sep 14, 2026

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Private Equityidentity

Thomas Joseph Lalley

same person, same CRD on Schedule A · confidence 95% · family precision 100%

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: Sep 21, 1993earliest registration or exam on IAPD
Years in industry: 33derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 1
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner|Chartered Financial Analyst
Exams: S63
First exam: Sep 21, 1993
First registration: Nov 16, 2001
Dual registered: no
IAPD individual key: 2385518

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	Jul 17, 2019	n/a	yes	Cincinnati, OH	Current employment
JOHN D. DOVICH & ASSOCIATES, LLC	Former SEC adviser	Nov 16, 2001	Jul 8, 2019	no	CINCINNATI, 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
JOHN D. DOVICH & ASSOCIATES, LLC	MAI CAPITAL MANAGEMENT, LLC	Jul 8, 2019	Jul 17, 2019	9	Firm change	RIA to RIA

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
120458:109807:OH:2019-07-08	Jul 8, 2019	Jul 17, 2019	CINCINNATI, OH	Firm change

Relationships

Registered with (2)

→ MAI CAPITAL MANAGEMENT, LLCRegistered adviserregistration: current employment
Jul 17, 2019 to presentfactForm ADV
→ JOHN D. DOVICH & ASSOCIATES, LLCRegistered adviserregistration: previous registration
Nov 16, 2001 to Jul 8, 2019factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ab72a68e-fd82-317a-9e4f-500187657893
First observed: Nov 16, 2001
Last observed: Sep 14, 2026 7 days ago
Source families: Federal regulator filings
1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

THOMAS JOSEPH LALLEY

Advisor at MAI CAPITAL MANAGEMENT, LLC

Cincinnati, OH

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:ab72a68e-fd82-317a-9e4f-500187657893

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:51 AM UTC and rebuilt at most every 15 minutes.

Firm

Class

Began

Ended

Current

Branch

Basis

MAI CAPITAL MANAGEMENT, LLC

Independent wealth

Jul 17, 2019

n/a

yes

Cincinnati, OH

Current employment

JOHN D. DOVICH & ASSOCIATES, LLC

Former SEC adviser

Nov 16, 2001

Jul 8, 2019

CINCINNATI, OH

Previous registration

From

Left

Joined

Gap, days

Kind

Move type

JOHN D. DOVICH & ASSOCIATES, LLC

MAI CAPITAL MANAGEMENT, LLC

Jul 8, 2019

Jul 17, 2019

Firm change

RIA to RIA

Team

Left

Joined

From

Kind

120458:109807:OH:2019-07-08

Jul 8, 2019

Jul 17, 2019

CINCINNATI, OH

Firm change