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.
SEC-registered adviser
Fifth Third Securities, Inc.
Latest filing Jul 14, 2026
First filing on the tape Dec 21, 2011 · 108 filings
SEC status approved since Nov 17, 2004
RAUM
$11B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$11B individuals and HNW
Advisors
1,004
registered through the firm on IAPD
RAUM per advisor
$10.9M
derived; firm RAUM over IAPD count
Employees
13,533
848 advisory (5.B.1)
Offices
1,117
beyond the principal office
Private funds
0
reported on Schedule D
History
108 filings and snapshots on the tape
RAUM$11B as of Jul 14, 2026
Mar 30, 2012$376M then
HNW client RAUM$2.5B as of Jul 14, 2026
Mar 31, 2018$92.7M then
State-registered IARs (5.B.3)1,004 as of Jul 14, 2026
Mar 30, 20120 then
Employees (5.A)13,533 as of Jul 14, 2026
Apr 1, 20131,450 then
Private funds: no history
RAUM +20% over the last fiscal year+14% a year over threeIARs 961 to 1,004
Practice profile
derived from the filing of Jul 14, 2026; every figure names its basis
Archetypes, each a printed rule
- Bank affiliated · Item 7.A.6 or 7.A.7 (bank or trust company affiliate) and a bank, bancorp or trust company as a 50 percent or greater owner on Schedule A
- Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $10.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 46derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.3MderivedHNW RAUM over HNW clients
- Average account
- $232,373derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 13.5derivedItem 5.A over advisors
- Advisors per office
- 0.9derived1,118 offices incl. principal (1.F.5)
- RAUM growth, one year
- +20%derivedbetween the last two annual amendments
- Advisor growth, one year
- +4.5%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +9.3%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, otherreportedItem 5.G
- Wrap fee program
- $14BreportedItem 5.I
- Custody
- $11B, 47,014 clientsreportedItem 9.A
- Ownership
- a bank, bancorp or trust company is a 50 percent or greater ownerderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- is a broker-dealer (6.A.1)
- is an insurance broker or agent (6.A.6)
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$8.2B75%
- High-net-worth individuals$2.5B23%
- Pension and profit-sharing plans$151M1.4%
- Corporations and businesses$90.4M0.8%
- Charitable organizations$8.8M0.1%
- Pooled investment vehicles$5.1M0.0%
- Individual clients
- 44,361reported
- HNW clients
- 1,938reported
- Pension plan clients
- 524reported
- Charitable clients
- 17reported
- Accounts
- 47,014reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- $11B sponsored, $0 managedreported
- Custody of client assets
- $11B for 47,014 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.01 related_bd=true related_bank=true bd_reps=13533.0derived
Advisors registered through the firm
1,007 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| James Edison Willard | Noblesville, In | Nov 18, 2004 | 30 y | 0 |
| Deborah Sue Cribbs | Montgomery, Oh | Nov 22, 2004 | 34 y | 0 |
| Milan Rashmikant PatelCertified Financial Planner | Hamilton, Oh | Nov 22, 2004 | 35 y | 0 |
| John Andrew Wile | Columbus, Oh | Nov 22, 2004 | 28 y | 0 |
| David Kent Selsor | Piqua, Oh | Nov 22, 2004 | 29 y | 0 |
| Denis Walter Moulton | Monroe, Nc | Nov 22, 2004 | 27 y | 0 |
| Jacqueline Marie Wilson | Cincinnati, Oh | Nov 22, 2004 | 37 y | 0 |
| Jeffrey Michael Myers | Georgetown, Oh | Nov 22, 2004 | 27 y | 0 |
| Thomas Leaman Faris | Montgomery, Oh | Nov 22, 2004 | 38 y | 0 |
| J. Christopher Pettigrew | Cincinnati, Oh | Nov 30, 2004 | 26 y | 1 |
| Harold Eugene Taylor | Cincinnati, Oh | Nov 30, 2004 | 27 y | 0 |
| Alexander Scott AdamsCertified Financial Planner | Indianapolis, In | Jan 28, 2005 | 44 y | 2 |
| Richard Ross Tucker | Grove City, Oh | Feb 1, 2005 | 33 y | 0 |
| Christopher Martin Hayes | Miamisburg, Oh | Feb 14, 2005 | 33 y | 1 |
| Darin Matthew Kershner | Westerville, Oh | Feb 14, 2005 | 26 y | 0 |
| Joseph Beswick | Berea, Oh | Feb 14, 2005 | 24 y | 1 |
| Linda Ann Graham | Bainbridge, Oh | Feb 14, 2005 | 27 y | 0 |
| Lisa Ann Gillen | Peninsula, Oh | Feb 14, 2005 | 25 y | 0 |
| Daniel Michael Vaughan | Mason, Oh | Feb 14, 2005 | 28 y | 0 |
| Eric G Haddad | Cleveland, Oh | Feb 14, 2005 | 25 y | 0 |
| Brian Thomas WerbrichCertified Financial Planner | Montgomery, Oh | Feb 14, 2005 | 26 y | 0 |
| Matthew Jay Mowchan | Brooklyn, Oh | Feb 14, 2005 | 30 y | 0 |
| Susan Anne Hacker | Cincinnati, Oh | Feb 14, 2005 | 25 y | 0 |
| Joseph Fredric Nadeau | Xenia, Oh | Feb 14, 2005 | 27 y | 0 |
| Stephen Charles Becker | Westerville, Oh | Feb 14, 2005 | 23 y | 0 |
| Edward Anthony ZimmerCertified Financial Planner | Columbus, Oh | Feb 14, 2005 | 38 y | 0 |
| Charles A Huff Jr. | Worthington, Oh | Feb 14, 2005 | 21 y | 0 |
| Jeffrey John Jensen | Toledo, Oh | Feb 14, 2005 | 29 y | 0 |
| Kenneth M Spicer | Springfield, Oh | Feb 14, 2005 | 23 y | 0 |
| Lawrence Michael Kocisko | Cincinnati, Oh | Feb 15, 2005 | 32 y | 0 |
| Steven Julian Truitt | Columbus, Oh | Feb 15, 2005 | 43 y | 0 |
| Anthony Victor Seghy | Parma, Oh | Mar 4, 2005 | 35 y | 0 |
| John Thomas Edwards | Naples, Fl | Mar 22, 2005 | 34 y | 0 |
| Anupama Gupta Ortiz | Hoffman Estates, Il | Jun 15, 2005 | 25 y | 0 |
| Christine Anne Delbrocco | Fort Myers, Fl | Jul 7, 2005 | 29 y | 1 |
| John Christopher StiltnerCertified Financial Planner, Chartered Financial Consultant | Powell, Oh | Jul 22, 2005 | 27 y | 0 |
| Bennett Kendall Baker | Montgomery, Oh | Oct 26, 2005 | 28 y | 0 |
| Andrew Joseph Thorne | Powell, Oh | Nov 7, 2005 | 22 y | 0 |
| Richard Eugene Tenison | Newburgh, In | Nov 14, 2005 | 40 y | 0 |
| Carrie L. Reynolds | Columbus, Oh | Nov 16, 2005 | 25 y | 1 |
Advisor movement
38 left, 54 joined in 12 months
net +16 in 12 months12 left in 90 days22 joined in 90 daysdeparture rate 3.8% of current headcount117 left over 36 months
Left, latest
- Kevin Mark Wheeler to Merrill Lynch, Pierce, Fenner & Smith IncorporatedSep 3, 2026 · Affiliated broker-dealer or bank to wirehouse
- Eric James Silsby to LPL Financial LLCAug 24, 2026 · Affiliated broker-dealer or bank to another
- Jose Aguilera to J.P. Morgan Securities LLCAug 24, 2026 · Affiliated broker-dealer or bank to wirehouse
- Ranjini Pathak to Pnc Wealth ManagementAug 21, 2026 · Affiliated broker-dealer or bank to another
- Megan Cherie Boston Wood to J.P. Morgan Securities LLCAug 14, 2026 · Affiliated broker-dealer or bank to wirehouse
- Jermeir Lechet Jackson Stroud to Merrill Lynch, Pierce, Fenner & Smith IncorporatedJul 31, 2026 · Affiliated broker-dealer or bank to wirehouse
- Ian Foreman to Entrusted Stewardship LLCJul 24, 2026 · Affiliated broker-dealer or bank to a state-registered adviser
- Scott D Clark to Pnc Wealth ManagementJul 16, 2026 · Affiliated broker-dealer or bank to another
- Jeffrey Fay to U.S. Bancorp Advisors, LLCJul 10, 2026 · Affiliated broker-dealer or bank to another
- Uriah Burke to Key Investment Services LLCJun 26, 2026 · Affiliated broker-dealer or bank to another
- Robert David Church to Advice And Planning ServicesJun 26, 2026 · Affiliated broker-dealer or bank to another
- Caleb C Duckworth to LPL Financial LLCJun 26, 2026 · Affiliated broker-dealer or bank to another
- Malak Rabi to Key Investment Services LLCJun 3, 2026 · Affiliated broker-dealer or bank to another
- Angela Myers to Key Investment Services LLCMay 29, 2026 · Affiliated broker-dealer or bank to another
- Nicholas Robinson to Robert W. Baird & Co. IncorporatedMay 8, 2026 · Affiliated broker-dealer or bank to independent RIA
Joined, latest
- Joana Montero-Flores from Wells Fargo AdvisorsSep 15, 2026 · Wirehouse to affiliated broker-dealer or bank
- Lukas Paul Manger from LPL Financial LLCSep 1, 2026 · Affiliated broker-dealer or bank to another
- Jonathon Durst Mcadams from Frost Investment ServicesAug 26, 2026 · Affiliated broker-dealer or bank to another
- Roberto Aburto from Frost Investment ServicesAug 26, 2026 · Affiliated broker-dealer or bank to another
- Katherine Elizabeth Mcconnaughy from J.P. Morgan Securities LLCAug 25, 2026 · Wirehouse to affiliated broker-dealer or bank
- Daniel Collins Coblentz from Raymond James Financial Services Advisors, IncAug 24, 2026 · Affiliated broker-dealer or bank to another
- David Chaim Sendowski from Wells Fargo AdvisorsAug 17, 2026 · Wirehouse to affiliated broker-dealer or bank
- Kyle Douglas Gregory from Frost Investment ServicesAug 14, 2026 · Affiliated broker-dealer or bank to another
- Joyce V Thomas from Pnc Wealth ManagementAug 14, 2026 · Affiliated broker-dealer or bank to another
- Dana Renee Otoole from Frost Investment ServicesAug 13, 2026 · Affiliated broker-dealer or bank to another
- Robert Louis Van Erem from Strategic Advisers LLCAug 11, 2026 · Affiliated broker-dealer or bank to another
- Carlos Tijerina Jr from Frost Investment ServicesAug 11, 2026 · Affiliated broker-dealer or bank to another
- Miguel Palacios Jr from Frost Investment ServicesAug 11, 2026 · Affiliated broker-dealer or bank to another
- Vishal Sharma from LPL Enterprise, LLCAug 10, 2026 · Affiliated broker-dealer or bank to another
- Karalyn Fielding from LPL Financial LLCAug 10, 2026 · Affiliated broker-dealer or bank to another
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for Ameriprise Financial Services, LLCJan 23, 2025 · Portage, Mi
- 2 left for Wells Fargo AdvisorsAug 2, 2024 · Indianapolis, In
- 2 left for LPL Financial LLCNov 16, 2023 · Franklin, Tn
- 3 left for Merrill Lynch, Pierce, Fenner & Smith IncorporatedJul 6, 2023 · Independence, Ky
- 4 left for Truist Advisory Services, Inc.Nov 14, 2022 · Estero, Fl
- 2 left for Morgan StanleyNov 4, 2022 · Hoffman Estates, Il
- 5 left for Morgan StanleyMay 9, 2022 · Chicago, Il
- 3 left for Morgan StanleyMar 16, 2022 · Lombard, Il
- 6 joined from Frost Investment ServicesAug 7, 2026 · Kingwood, Tx
- 2 joined from Merrill Lynch, Pierce, Fenner & Smith IncorporatedJul 15, 2026 · Jacksonville, Fl
- 2 joined from Huntington Financial AdvisorsMay 17, 2023 · Dublin, Oh
- 2 joined from Bfc Planning, Inc.Mar 23, 2022 · Cedar Rapids, Ia
- 7 joined from Cetera Investment Advisers LLCMay 29, 2019 · Rosemont, Il
- 2 joined from Key Investment Services LLCMay 2, 2018 · Lebanon, In
- 2 joined from Merrill Lynch, Pierce, Fenner & Smith IncorporatedApr 27, 2018 · Chicago, Il
- 2 joined from Scottrade Investment ManagementMar 8, 2018 · Saint Louis, Mo
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Robert Albert Corsarie · Director, Head Of Retail Brokeragecontrolsince 06/2020 · owns less than 5%
- Jarrett Andrew Jacobs · Director, Bd Chief Compliance Officer/Ria Chief Compliance Officercontrolsince 03/2013 · owns less than 5%
- Shannon Johnson Mobley · Director, Regional Investment Managercontrolsince 06/2021 · owns less than 5%
- Ginger Michelle Kelly · Director, Chief Administrative Officer - Retailcontrolsince 03/2011 · owns less than 5%
- James Paul Ludwick · Director, Executive Director Of Institutional Businesscontrolsince 07/2017 · owns less than 5%
- Timothy Lyons · Director, Managing Director-Tradingcontrolsince 03/2023 · owns less than 5%
- Robert Franklin Marcus · Director, Head Of Capital Marketscontrolsince 04/2012 · owns less than 5%
- Justin Michael Overmann · Director, Principal Operations Officercontrolsince 05/2011 · owns less than 5%
- Christopher Scott Stratmoen · Director, Principal Financial Officersince 10/2018 · owns less than 5%
Entity owners
- Fifth Third Bank, National Association · Ownerdirect · owns 75% or more · public reporting company
- Fifth Third Bancorp · Shareholderindirect · owns 75% or more of Fifth Third Financial Corporation · public reporting company
- Fifth Third Financial Corporation · Shareholderindirect · owns 75% or more of Fifth Third Bank, National Association · public reporting company
Related persons
Schedule D 7.A
- Fifth Third Bankbankpooled vehicle sponsory
- Fifth Third Insurance Agency, Inc.real estaten
- Fifth Third Wealth Advisors LLCinvestment advisernRAUM $7.8B
- Franklin Street Advisors Inc.investment advisernRAUM $4.5B
Advisers that list Fifth Third Securities, Inc. as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Cincinnati, Oh · principal | 143 | 14 | 2 | ||
| Louisville, Ky | 32 | 3 | 1 | ||
| Columbus, Oh | 25 | 1 | 0 | ||
| Naples, Fl | 23 | 4 | 0 | ||
| Grand Rapids, Mi | 23 | 2 | 0 | ||
| West Chester, Oh | 22 | 1 | 0 | ||
| Bloomfield Hills, Mi | 22 | 21 | 0 | ||
| Chicago, Il | 22 | 4 | 2 | ||
| Charlotte, Nc | 21 | 0 | 1 | ||
| Indianapolis, In | 21 | 1 | 0 | ||
| Florence, Ky | 19 | 0 | 1 | ||
| Evansville, In | 18 | 3 | 0 | ||
| Fort Myers, Fl | 15 | 0 | 0 | ||
| Westerville, Oh | 13 | 0 | 0 | ||
| Farmington Hills, Mi | 13 | 11 | 0 | ||
| Dayton, Oh | 13 | 0 | 0 | ||
| Dallas, Tx | 13 | 11 | 0 | ||
| Lexington, Ky | 11 | 1 | 1 | ||
| Loveland, Oh | 11 | 1 | 0 | ||
| Toledo, Oh | 11 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Cincinnati, OH13 employees
- Louisville, KY7 employees
- West Chester, OH6 employees
- Findlay, OH6 employees
- Cincinnati, OH6 employees
- East Lansing, MI6 employees
- Montgomery, OH6 employees
- Mayfield Heights, OH5 employees
- Cincinnati, OH5 employees
- Traverse City, MI5 employees
- Shelby Township, MI5 employees
- Columbus, OH5 employees
- Carmel, IN5 employees
- Fairfield, OH5 employees
- Milford, OH5 employees
- Chicago, IL5 employees
- Findlay, OH5 employees
- Florence, KY5 employees
- Dublin, OH5 employees
- Portage, IN4 employees
- Cincinnati, OH4 employees
- Cleveland, OH4 employees
- Naples, FL4 employees
- Carmel, IN4 employees
- West Chester, OH4 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- employee count surgeChange between filings · filing Mar 31, 2026employees (Item 5.A) moved from 1,349.0 to 13,533.0 (+903.0%) between the annual amendments of 2025-03-31 and 2026-03-31; the peer median change was +4.0% (52 comparable advisers, 100.0th percentile of changes)peers: affiliated wealth managers, $5B to $20B (52) · 100% percentile
What changed
consecutive filings, newest first
- Accounts · 43,067 to 47,014Feb 2, 2026 to Mar 31, 2026
- Advisory employees · 788 to 848Feb 2, 2026 to Mar 31, 2026
- BD registered reps · 1,349 to 13,533Feb 2, 2026 to Mar 31, 2026
- Charity clients · 18 to 17Feb 2, 2026 to Mar 31, 2026
- Corporate clients · 115 to 167Feb 2, 2026 to Mar 31, 2026
- HNW clients · 1,417 to 1,938Feb 2, 2026 to Mar 31, 2026
- Individual clients · 40,945 to 44,361Feb 2, 2026 to Mar 31, 2026
- Pension plan clients · 527 to 524Feb 2, 2026 to Mar 31, 2026
- Pooled vehicle clients · 9 to 7Feb 2, 2026 to Mar 31, 2026
- Assets in custody · $9.1B to $11BFeb 2, 2026 to Mar 31, 2026
- Employees · 1,349 to 13,533Feb 2, 2026 to Mar 31, 2026
- Financial planning clients · 101-250 to 26-50Feb 2, 2026 to Mar 31, 2026
- State-registered IARs · 961 to 1,004Feb 2, 2026 to Mar 31, 2026
- Discretionary RAUM · $9.1B to $11BFeb 2, 2026 to Mar 31, 2026
- HNW RAUM · $1.8B to $2.5BFeb 2, 2026 to Mar 31, 2026
- Individual RAUM · $7.2B to $8.2BFeb 2, 2026 to Mar 31, 2026
- Pension RAUM · $139M to $151MFeb 2, 2026 to Mar 31, 2026
- Pooled vehicle RAUM · $7.3M to $5.1MFeb 2, 2026 to Mar 31, 2026
- RAUM · $9.1B to $11BFeb 2, 2026 to Mar 31, 2026
- Wrap assets (sponsor) · $9.1B to $11BFeb 2, 2026 to Mar 31, 2026
- Financial planning clients · 101-250 to 101-250Jun 10, 2025 to Jul 14, 2025
- Accounts · 40,143 to 43,067Oct 9, 2024 to Mar 31, 2025
- Advisory employees · 722 to 788Oct 9, 2024 to Mar 31, 2025
- BD registered reps · 1,228 to 1,349Oct 9, 2024 to Mar 31, 2025
- Corporate clients · 129 to 115Oct 9, 2024 to Mar 31, 2025
- HNW clients · 1,074 to 1,417Oct 9, 2024 to Mar 31, 2025
- Individual clients · 38,436 to 40,945Oct 9, 2024 to Mar 31, 2025
- Pension plan clients · 479 to 527Oct 9, 2024 to Mar 31, 2025
- Pooled vehicle clients · 7 to 9Oct 9, 2024 to Mar 31, 2025
- Assets in custody · $80B to $9.1BOct 9, 2024 to Mar 31, 2025
- Employees · 1,228 to 1,349Oct 9, 2024 to Mar 31, 2025
- Financial planning clients · More than 500 to 101-250Oct 9, 2024 to Mar 31, 2025
- State-registered IARs · 886 to 961Oct 9, 2024 to Mar 31, 2025
- Discretionary RAUM · $8.0B to $9.1BOct 9, 2024 to Mar 31, 2025
- HNW RAUM · $1.3B to $1.8BOct 9, 2024 to Mar 31, 2025
- Individual RAUM · $6.5B to $7.2BOct 9, 2024 to Mar 31, 2025
- Pension RAUM · $120M to $139MOct 9, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $6.1M to $7.3MOct 9, 2024 to Mar 31, 2025
- RAUM · $8.0B to $9.1BOct 9, 2024 to Mar 31, 2025
- Wrap assets (sponsor) · $8.0B to $9.1BOct 9, 2024 to Mar 31, 2025
Signals
60 dated events
- Edgar Juarez registered as an investment adviser representative at Fifth Third Securities, Inc.Sep 16, 2026 · Advisor registered · fact
- Hannah Hautzinger registered as an investment adviser representative at Fifth Third Securities, Inc.Sep 16, 2026 · Advisor registered · fact
- Joana Montero-Flores registered as an investment adviser representative at Fifth Third Securities, Inc.Sep 15, 2026 · Advisor registered · fact
- Cody J Wagner registered as an investment adviser representative at Fifth Third Securities, Inc.Sep 15, 2026 · Advisor registered · fact
- Kevin Mark Wheeler left Fifth Third Securities, Inc. for Merrill Lynch, Pierce, Fenner & Smith Incorporated (registered 2026-09-02)Sep 3, 2026 · Advisor changed firm · fact
- Jose Aguilera left Fifth Third Securities, Inc. for J.P. Morgan Securities Llc (registered 2026-09-09)Aug 24, 2026 · Advisor changed firm · fact
- Eric James Silsby left Fifth Third Securities, Inc. for Lpl Financial Llc (registered 2026-09-11)Aug 24, 2026 · Advisor changed firm · fact
- Ranjini Pathak left Fifth Third Securities, Inc. for Pnc Wealth Management (registered 2026-08-25)Aug 21, 2026 · Advisor changed firm · fact
- Megan Cherie Boston Wood left Fifth Third Securities, Inc. for J.P. Morgan Securities Llc (registered 2026-08-18)Aug 14, 2026 · Advisor changed firm · fact
- 6 advisors left Frost Investment Services (San Antonio, TX) for Fifth Third Securities, Inc. within 13 daysAug 7, 2026 · Team lift-out · derived
- Jermeir Lechet Jackson Stroud left Fifth Third Securities, Inc. for Merrill Lynch, Pierce, Fenner & Smith Incorporated (registered 2026-08-20)Jul 31, 2026 · Advisor changed firm · fact
- Ian Foreman left Fifth Third Securities, Inc. for Entrusted Stewardship Llc (registered 2026-08-26)Jul 24, 2026 · Advisor changed firm · fact
- Scott D Clark left Fifth Third Securities, Inc. for Pnc Wealth Management (registered 2026-07-16)Jul 16, 2026 · Advisor changed firm · fact
- 2 advisors left Merrill Lynch, Pierce, Fenner & Smith Incorporated (Jacksonville, FL) for Fifth Third Securities, Inc. within 5 daysJul 15, 2026 · Team lift-out · derived
- Jeffrey Fay left Fifth Third Securities, Inc. for U.S. Bancorp Advisors, Llc (registered 2026-06-26)Jul 10, 2026 · Advisor changed firm · fact
- Caleb C Duckworth left Fifth Third Securities, Inc. for Lpl Financial Llc (registered 2026-06-25)Jun 26, 2026 · Advisor changed firm · fact
- Uriah Burke left Fifth Third Securities, Inc. for Key Investment Services Llc (registered 2026-07-10)Jun 26, 2026 · Advisor changed firm · fact
- Robert David Church left Fifth Third Securities, Inc. for Advice And Planning Services (registered 2026-06-30)Jun 26, 2026 · Advisor changed firm · fact
- Malak Rabi left Fifth Third Securities, Inc. for Key Investment Services Llc (registered 2026-06-09)Jun 3, 2026 · Advisor changed firm · fact
- Angela Myers left Fifth Third Securities, Inc. for Key Investment Services Llc (registered 2026-05-19)May 29, 2026 · Advisor changed firm · fact
- Nicholas Robinson left Fifth Third Securities, Inc. for Robert W. Baird & Co. Incorporated (registered 2026-05-12)May 8, 2026 · Advisor changed firm · fact
- Jeff Good left Fifth Third Securities, Inc. for Lpl Financial Llc (registered 2026-05-04)May 7, 2026 · Advisor changed firm · fact
- Stephen Laurence Peloquin left Fifth Third Securities, Inc. for Lpl Financial Llc (registered 2026-05-27)May 7, 2026 · Advisor changed firm · fact
- Matthew Shawn Parks left Fifth Third Securities, Inc. for Lpl Financial Llc (registered 2026-04-20)Apr 30, 2026 · Advisor changed firm · fact
- Sean Patrick Clark left Fifth Third Securities, Inc. for Wells Fargo Advisors (registered 2026-05-26)Apr 23, 2026 · Advisor changed firm · fact
- Kevin Thomas Hopperton left Fifth Third Securities, Inc. for U.S. Bancorp Advisors, Llc (registered 2026-04-20)Apr 21, 2026 · Advisor changed firm · fact
- Salvatore Anthony D'Alessandro left Fifth Third Securities, Inc. for Raymond James & Associates, Inc. (registered 2026-04-13)Apr 7, 2026 · Advisor changed firm · fact
- Chancey Zifko left Fifth Third Securities, Inc. for Truist Advisory Services, Inc. (registered 2026-04-09)Mar 31, 2026 · Advisor changed firm · fact
- Kenneth Samuel Jenkins left Fifth Third Securities, Inc. for Pnc Wealth Management (registered 2026-05-11)Mar 23, 2026 · Advisor changed firm · fact
- Lisbeth C. Guerrero Aguirre left Fifth Third Securities, Inc. for J.P. Morgan Securities Llc (registered 2026-03-11)Mar 13, 2026 · Advisor changed firm · fact
Across DFX
shared identifiers only, never a name match
- Fifth Third Securities, Inc. · Private Equityshared crd · intermediary
How to reach
public business contact points only, each with its source
- Firm profile
- LINKEDIN.COM/COMPANY/3011reportedpublic record, Form ADV, Sep 17, 2026
- Website
- 53.COM/CONTENT/FIFTH-THIRD/EN/PERSONAL-BANKING/INVESTMENTS/Preportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 888-889-1025reportedpublic record, Form ADV, Jul 14, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Broker-dealer affiliated wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $10.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026