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RIA / WealthAdvisor39 years in industry

JAMES ERIC MAXWELL

Advisor at CREATIVE PLANNING

Pleasanton, CA | OVERLAND PARK, KS

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Search this name across graphsid dfx:ria:0bf02685-3b41-fb67-1473-2fac1e2ffc4e

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 4:52 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: May 12, 1998 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: CREATIVE PLANNING
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Mar 3, 1987earliest registration or exam on IAPD
Years in industry: 39derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 2
Exams: S65|S63
First exam: Mar 3, 1987
First registration: May 12, 1998
Dual registered: no
Other names: Eric Maxwell
IAPD individual key: 1510156

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
CREATIVE PLANNING	Independent wealth	Feb 17, 2025	n/a	yes	OVERLAND PARK, KS\|Pleasanton, CA	Current employment
MAXWELL WEALTH	Former SEC adviser	Nov 5, 2021	May 6, 2025	no	PLEASANTON, CA	Previous registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	Bd affiliated wealth	May 11, 2015	Dec 31, 2021	no	PLEASANTON, CA\|PLEASANTON, CA	Previous registration
MORGAN STANLEY	Wirehouse	Jun 1, 2009	May 15, 2015	no	PLEASANTON, CA\|Pleasanton, CA	Previous registration
MORGAN STANLEY & CO. LLC	n/a	Jun 15, 2007	Jun 1, 2009	no	PLEASANTON, CA	Previous registration
BANC OF AMERICA INVESTMENT SERVICES, INC.	n/a	May 12, 1998	Jun 19, 2007	no	WALNUT CREEK, CA\|PLEASANTON, CA\|PLEASANTON, CA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
MAXWELL WEALTH	CREATIVE PLANNING	May 6, 2025	Feb 17, 2025	-78	Firm change after gap	RIA to RIA
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	MAXWELL WEALTH	Dec 31, 2021	Nov 5, 2021	-56	Firm change after gap	Ibd to new firm
MORGAN STANLEY	RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	May 15, 2015	May 11, 2015	-4	Firm change	Other
MORGAN STANLEY & CO. LLC	MORGAN STANLEY	Jun 1, 2009	Jun 1, 2009	0	Bulk transfer	Other
BANC OF AMERICA INVESTMENT SERVICES, INC.	MORGAN STANLEY & CO. LLC	Jun 19, 2007	Jun 15, 2007	-4	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
317081:105348:CA:2025-05-06	May 6, 2025	Feb 17, 2025	PLEASANTON, CA	Firm change after gap

Relationships

Registered with (6)

→ CREATIVE PLANNINGRegistered adviserregistration: current employment
Feb 17, 2025 to presentfactForm ADV
→ MAXWELL WEALTHRegistered adviserregistration: previous registration
Nov 5, 2021 to May 6, 2025factForm ADV
→ RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INCRegistered adviserregistration: previous registration
May 11, 2015 to Dec 31, 2021factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 1, 2009 to May 15, 2015factForm ADV
→ MORGAN STANLEY & CO. LLCRegistered adviserregistration: previous registration
Jun 15, 2007 to Jun 1, 2009factForm ADV
→ BANC OF AMERICA INVESTMENT SERVICES, INC.Registered adviserregistration: previous registration
May 12, 1998 to Jun 19, 2007factForm ADV

Dated events

Occurred
May 6, 2025
Advisor changed firm
James Eric Maxwell left Maxwell Wealth for Creative Planning (registered 2025-02-17)
Form ADVobserved 4 days ago