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 Allen Leppien
Feed of 09/14/2026
At current firm
3 y
since Sep 6, 2023
In the industry
19 y
since Nov 29, 2006 (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
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
- Signature Equity Partners, LLC independent RIA currentsince Sep 6, 2023 · Traverse City, Mi
- Cambridge Investment Research Advisors, Inc. BD affiliatedMay 15, 2018 to Sep 13, 2023 · Traverse City, Mi
- Cetera Investment Advisers LLC BD affiliatedFeb 24, 2015 to Jun 4, 2018 · Traverse City, Mi
- LPL Financial LLC BD affiliatedOct 11, 2011 to Feb 19, 2015 · Traverse City, Mi
- Uvest Financial Services Group, Inc. unclassifiedAug 7, 2008 to Oct 11, 2011 · Traverse, Mi
- Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseJan 31, 2007 to Jun 11, 2008 · Saginaw, Mi
- Waddell & Reed formerNov 30, 2006 to Jan 17, 2007 · Traverse City, Mi
Moves
a registration end followed by a registration begin elsewhere
- Cambridge Investment Research Advisors, Inc. to Signature Equity Partners, LLCleft Sep 13, 2023, registered Sep 6, 2023 (-7 days) · Affiliated broker-dealer or bank to a newly registered adviser · moved with a team
- Cetera Investment Advisers LLC to Cambridge Investment Research Advisors, Inc.left Jun 4, 2018, registered May 15, 2018 (-20 days) · Affiliated broker-dealer or bank to another · moved with a team
- LPL Financial LLC to Cetera Investment Advisers LLCleft Feb 19, 2015, registered Feb 24, 2015 (5 days) · Other · moved with a team
- Uvest Financial Services Group, Inc. to LPL Financial LLCleft Oct 11, 2011, registered Oct 11, 2011 (0 days) · corporate re-registration, not a move
- Merrill Lynch, Pierce, Fenner & Smith Incorporated to Uvest Financial Services Group, Inc.left Jun 11, 2008, registered Aug 7, 2008 (57 days) · Other
- Waddell & Reed to Merrill Lynch, Pierce, Fenner & Smith Incorporatedleft Jan 17, 2007, registered Jan 31, 2007 (14 days) · Other
Signals
- Craig Allen Leppien left Cambridge Investment Research Advisors, Inc. for Signature Equity Partners, Llc (registered 2023-09-06)Sep 13, 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
- Independent wealth managerderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address