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.
Feed of 09/15/2026
Also filed as Mark A Ruhe
At current firm
3 y
since Aug 23, 2023
In the industry
28 y
since Sep 14, 1998 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- Potomac asset manager currentsince Aug 23, 2023 · Avon, Oh
- Cuna Brokerage Services, Inc. formerFeb 8, 2018 to Mar 30, 2023 · Zionsville, In
- Cetera Investment Advisers LLC BD affiliatedJan 19, 2017 to Jan 26, 2018 · Indianapolis, In
- American Portfolios Advisors, Inc formerFeb 19, 2016 to Jan 11, 2017 · Holbrook, Ny
- J. W. Cole Advisors, Inc. BD affiliatedSep 14, 2015 to Nov 25, 2015 · Indianapolis, In
- Assetmark, Inc. BD affiliatedNov 10, 2005 to Oct 7, 2014 · Chicago, Il
Moves
a registration end followed by a registration begin elsewhere
- Cuna Brokerage Services, Inc. to Potomacleft Mar 30, 2023, registered Aug 23, 2023 (146 days) · Other
- Cetera Investment Advisers LLC to Cuna Brokerage Services, Inc.left Jan 26, 2018, registered Feb 8, 2018 (13 days) · Other
- American Portfolios Advisors, Inc to Cetera Investment Advisers LLCleft Jan 11, 2017, registered Jan 19, 2017 (8 days) · Other
- J. W. Cole Advisors, Inc. to American Portfolios Advisors, Incleft Nov 25, 2015, registered Feb 19, 2016 (86 days) · Other
- Assetmark, Inc. to J. W. Cole Advisors, Inc.left Oct 7, 2014, registered Sep 14, 2015 (342 days) · Other
Signals
- Mark A Ruhe left Cuna Brokerage Services, Inc. for Potomac (registered 2023-08-23)Mar 30, 2023 · Advisor changed firm · fact
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
- Asset manager (funds and pooled vehicles)derived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address