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

Tad Alan Herrington

Pds Planning Incindependent RIADublin, OhIA-onlyIAPD 5640586

Certified Financial Planner

Feed of 09/14/2026

At current firm

0 y

since Oct 10, 2025

In the industry

12 y

since May 16, 2014 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

Pds Planning Inc independent RIA current
since Oct 10, 2025 · Dublin, Oh
Graver Capital Management, LLC independent RIA
Jun 16, 2025 to Jul 25, 2025 · Columbus, Oh
Sws Partners, LLC independent RIA
Jul 10, 2023 to May 15, 2025 · Columbus, Oh
Clark Asset Management, LLC independent RIA
Jun 2, 2021 to Sep 8, 2022 · Stratham, Nh
John E. Sestina And Company independent RIA
Jun 29, 2016 to Jun 1, 2021 · Columbus, Oh
UBS Financial Services Inc. wirehouse
May 16, 2014 to Apr 15, 2016 · Columbus, Oh

Moves

a registration end followed by a registration begin elsewhere

Graver Capital Management, LLC to Pds Planning Inc
left Jul 25, 2025, registered Oct 10, 2025 (77 days) · RIA to RIA
Sws Partners, LLC to Graver Capital Management, LLC
left May 15, 2025, registered Jun 16, 2025 (32 days) · RIA to RIA
Clark Asset Management, LLC to Sws Partners, LLC
left Sep 8, 2022, registered Jul 10, 2023 (305 days) · RIA to RIA
John E. Sestina And Company to Clark Asset Management, LLC
left Jun 1, 2021, registered Jun 2, 2021 (1 days) · RIA to RIA
UBS Financial Services Inc. to John E. Sestina And Company
left Apr 15, 2016, registered Jun 29, 2016 (75 days) · Other

Signals

Tad Alan Herrington left Graver Capital Management, Llc for Pds Planning Inc (registered 2025-10-10)
Jul 25, 2025 · Advisor changed firm · fact
Tad Alan Herrington left Sws Partners, Llc for Graver Capital Management, Llc (registered 2025-06-16)
May 15, 2025 · Advisor changed firm · fact
Tad Alan Herrington left Clark Asset Management, Llc for Sws Partners, Llc (registered 2023-07-10)
Sep 8, 2022 · 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: 12derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address