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
Douglas James Ambrose
Certified Financial Planner
Feed of 09/14/2026
At current firm
1 y
since Jun 16, 2025
In the industry
25 y
since Aug 22, 2001 (earliest exam, job or registration)
Prior registered firms
7
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
- Journey Wealth Management independent RIA currentsince Jun 16, 2025 · Cleveland, Oh
- Osaic Wealth, Inc. BD affiliatedJan 24, 2025 to May 21, 2025 · Westlake, Oh
- Osaic Fa, Inc. formerFeb 3, 2020 to Jan 24, 2025 · Orange Village, Oh
- Td Ameritrade, Inc. formerApr 25, 2012 to Feb 5, 2020 · Orange Village, Oh
- Td Ameritrade Investment Management, LLC formerApr 25, 2012 to Feb 5, 2020 · Beachwood, Oh
- Pnc Wealth Management BD affiliatedFeb 29, 2012 to Apr 24, 2012 · Mentor, Oh
- Strategic Advisers LLC national BDNov 4, 2004 to Dec 8, 2011 · Woodmere Village, Oh
- Fidelity Personal Trust Company, Fsb unclassifiedAug 23, 2004 to Nov 2, 2004 · Columbus, Oh
Moves
a registration end followed by a registration begin elsewhere
- Osaic Wealth, Inc. to Journey Wealth Managementleft May 21, 2025, registered Jun 16, 2025 (26 days) · Affiliated broker-dealer or bank to independent RIA
- Osaic Fa, Inc. to Osaic Wealth, Inc.left Jan 24, 2025, registered Jan 24, 2025 (0 days) · corporate re-registration, not a move
- Td Ameritrade Investment Management, LLC to Osaic Fa, Inc.left Feb 5, 2020, registered Feb 3, 2020 (-2 days) · RIA to affiliated broker-dealer or bank
- Td Ameritrade, Inc. to Td Ameritrade Investment Management, LLCleft Feb 5, 2020, registered Apr 25, 2012 (-2842 days) · channel change inside one enterprise, not a move · moved with a team
- Pnc Wealth Management to Td Ameritrade, Inc.left Apr 24, 2012, registered Apr 25, 2012 (1 days) · Other
- Strategic Advisers LLC to Pnc Wealth Managementleft Dec 8, 2011, registered Feb 29, 2012 (83 days) · Other
- Fidelity Personal Trust Company, Fsb to Strategic Advisers LLCleft Nov 2, 2004, registered Nov 4, 2004 (2 days) · Other
Signals
- Douglas James Ambrose left Osaic Wealth, Inc. for Journey Wealth Management (registered 2025-06-16)May 21, 2025 · 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
- Independent wealth managerderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address