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
Jeffrey Alan Umbaugh
Feed of 09/15/2026
Also filed as Jeff Umbaugh
At current firm
11 y
since Feb 17, 2015
In the industry
25 y
since Jan 31, 2001 (earliest exam, job or registration)
Prior registered firms
6
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Regal Investment Advisors LLC BD affiliated currentsince Feb 17, 2015 · Plymouth, In
- Concourse Financial Group Advisors formerNov 18, 2008 to Mar 6, 2015 · Plymouth, In
- Umbaugh Financial unclassifiedJan 29, 2008 to Dec 31, 2008 · Plymouth, In
- Umbaugh Financial unclassifiedFeb 27, 2006 to Dec 31, 2007 · Plymouth, In
- Ffp Advisory Services Inc unclassifiedJan 26, 2005 to Jan 18, 2006 · Plymouth, In
- USA Financial Securities LLC independent RIAMay 6, 2003 to Feb 2, 2005 · Plymouth, In
- Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseFeb 8, 2001 to Sep 13, 2002 · South Bend, In
Moves
a registration end followed by a registration begin elsewhere
- Concourse Financial Group Advisors to Regal Investment Advisors LLCleft Mar 6, 2015, registered Feb 17, 2015 (-17 days) · Other
- Umbaugh Financial to Concourse Financial Group Advisorsleft Dec 31, 2008, registered Nov 18, 2008 (-43 days) · Other
- Ffp Advisory Services Inc to Umbaugh Financialleft Jan 18, 2006, registered Feb 27, 2006 (40 days) · Other
- USA Financial Securities LLC to Ffp Advisory Services Incleft Feb 2, 2005, registered Jan 26, 2005 (-7 days) · Other
- Merrill Lynch, Pierce, Fenner & Smith Incorporated to USA Financial Securities LLCleft Sep 13, 2002, registered May 6, 2003 (235 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address