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.
Registered advisor
Craig Douglas Findley
Feed of 09/14/2026
At current firm
7 y
since Jun 24, 2019
In the industry
33 y
since Oct 9, 1992 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
4
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Venture Visionary Partners LLC independent RIA currentsince Jun 24, 2019 · Sylvania, Oh
- Pks Advisory Services, LLC independent RIAMay 10, 2019 to Jun 26, 2019 · Albany, Ny
- UBS Financial Services Inc. wirehouseDec 14, 2011 to Apr 23, 2019 · Sylvania, Oh
- Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseJun 10, 2003 to Dec 16, 2011 · Toledo, Oh
- Citigroup Global Markets Inc. BD affiliatedDec 7, 1999 to Jun 12, 2003 · Toledo, Oh
Moves
a registration end followed by a registration begin elsewhere
- Pks Advisory Services, LLC to Venture Visionary Partners LLCleft Jun 26, 2019, registered Jun 24, 2019 (-2 days) · RIA to a newly registered adviser
- UBS Financial Services Inc. to Pks Advisory Services, LLCleft Apr 23, 2019, registered May 10, 2019 (17 days) · Wirehouse to independent RIA
- Merrill Lynch, Pierce, Fenner & Smith Incorporated to UBS Financial Services Inc.left Dec 16, 2011, registered Dec 14, 2011 (-2 days) · Wirehouse to wirehouse
- Citigroup Global Markets Inc. to Merrill Lynch, Pierce, Fenner & Smith Incorporatedleft Jun 12, 2003, registered Jun 10, 2003 (-2 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Independent wealth managerderived
- Years in industry
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address