InvestorTrustHub · Ohio

Ohio Investment Adviser & Securities Intelligence

The Ohio Department of Commerce Division of Securities is the state securities regulator under the Ohio Securities Act (Chapter 1707). IARD is filing infrastructure. IAPD is public adviser research. Ohio separately licenses investment adviser firms and investment adviser representative persons. State IA is not a federal-covered notice filing, not ERA, and not a principal office. Dealer is not IA. Salesperson is not IAR. A Notice of Opportunity for Hearing is not a final order. The Division warns its online final-order search may not retrieve all responsive documents. Complaint intake is not a complaint census. Missing is not zero. There is no combined Ohio adviser total. This page does not rank advisers or publish a Trust Score.

We organize the evidence. You decide.

Research Ohio-headquartered SEC/IARD firms Verify on IAPD

State of the record

IAPD Ohio state IA · ERA · Notice · Principal office

784

IAPD Ohio state IA (APPROVED)

Hero grain: distinct firm CRDs with StateRgstn/Rgltr/@Cd=OH and status APPROVED.

Trace this number

Source. https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_FIRM_STATE_Feed_09_17_2026.xml.gz

Source date. 2026-09-17

Coverage. ACQUIRED_IAPD_STATE_COMPILATION

Grain. state-registered investment adviser firm; registration jurisdiction = OH

Calculation. 785 OH StateRgstn rows; 784 APPROVED; 1 TERMREQUEST. Filter is Rgltr/@Cd=OH, not address.

Caveat. Ohio state IA license is not SEC registration, not a federal notice filing, not ERA, and not a principal office. Annual expiration on December 31 is statutory context, not a firm-level status. Verify current status on IAPD.

State ERA

Ohio state ERA reporting firms. ERA is not an Ohio licensed state IA.

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Source. IA_FIRM_STATE_Feed_09_17_2026

Source date. 2026-09-17

Coverage. ACQUIRED_IAPD_STATE_COMPILATION

Grain. ERA/Rgltr/@Cd=OH

Calculation. 24 distinct firm CRDs; overlap with Ohio state IA = 0.

Caveat. ERA is not an Ohio licensed state IA and is not an SEC RIA.

2,733

Notice

Federal-covered notice filings in Ohio. Not state IA.

Trace this number

Source. IA_FIRM_SEC_Feed_09_17_2026

Source date. 2026-09-17

Coverage. ACQUIRED_IAPD_SEC_COMPILATION

Grain. NoticeFiled/States/@RgltrCd=OH and status FILED

Calculation. 2733 distinct CRDs. Overlap with approved state IA = 25.

Caveat. Notice filing is not Ohio state IA registration.

426

Principal office

SEC/IARD roster firms with an Ohio principal office. Not registration.

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Source. SEC IARD firm compilation / reconciled roster geography

Source date. 2026-08-27

Coverage. National roster overlay

Grain. SEC IARD roster firm with principal-office region = OH

Calculation. COUNT of roster firms with principal-office region OH = 426. Raw compilation MainAddr=@State=OH = 434.

Caveat. An Ohio principal office is not Ohio state IA registration and is not a notice filing. These firms already exist in the federal graph.

STAR Filing Search is not an IA census

Ohio STAR / ERNIE Filing Search covers securities offering registration, exemption, and notice filings. That is not a complete investment-adviser or IAR license roster. Records-request forms prove dealer, salesperson, IA, and IAR files exist; they do not create a machine-readable public bulk universe. STAR IA roster status: OPEN_SEARCH_ONLY. Search-only is not zero.

STAR / ERNIE portal · Records request

IAR, dealer, and salesperson stay separate

IAR is a person class (OPEN_SEARCH_ONLY / RECORDS_REQUEST_ONLY). Dealer firms (OPEN_SEARCH_ONLY / RECORDS_REQUEST_ONLY) are not investment advisers. Salespersons (OPEN_SEARCH_ONLY / RECORDS_REQUEST_ONLY) are not IARs. Do not add these classes to the 784 APPROVED state-IA firm CRDs.

Division Orders: NOH is not a final finding

The Division Orders system distinguishes a Notice of Opportunity for Hearing from a Final Order. NOH is an allegation / opportunity for hearing. It is not a final determination. A Final Order is the Division's final disposition of the administrative matter. The Division warns that its current online order search may not retrieve all responsive documents, so an online result count is not a complete historical enforcement census. Monthly Enforcement Actions and Securities Bulletins may summarize the same Order Number — do not double-count. All Ohio securities orders are mixed-class and are not an IA discipline census. Exact CRD attachments in this freeze: 0. Name-only is unsafe. A charge is not a conviction. An administrative final order is not a criminal conviction. Unique matter IDs are unknown — not zero.

Ohio Division Orders

What this page does not mean

Do not add state IA + ERA + notice + principal office, or IA + IAR + dealer + salesperson.
Columbus and Cleveland are not InvestorTrustHub intelligence routes.
Complaint intake is not a complaint census. Historical orders do not override current IAPD status.
Search-only is not zero. No Trust Score. No AggregateRating. No ranking.