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RIA / WealthAdvisordual registered (broker-dealer)22 years in industry

KEVIN MATTHEW JAMES

Advisor at OCTOBER EFFECT LTD.

Newport News, VA | VIRGINIA BEACH, VA

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Search this name across graphsid dfx:ria:37138f53-3a91-0b7b-8855-aee1ffadd2d4

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 12:51 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Oct 23, 2003 to Sep 14, 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: OCTOBER EFFECT LTD.
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: Oct 23, 2003earliest registration or exam on IAPD
Years in industry: 22derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Exams: S66
First exam: Jan 19, 2012
First registration: Oct 23, 2003
Dual registered: yes, broker-dealer
IAPD individual key: 4673199

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
OCTOBER EFFECT LTD.	Independent wealth	Mar 8, 2023	n/a	yes	Newport News, VA\|VIRGINIA BEACH, VA	Current employment
OSAIC FA, INC.	Former SEC adviser	Feb 9, 2012	Feb 13, 2023	no	VIRGINIA BEACH, VA\|Virginia Beach, VA\|VIRGINIA BEACH, VA\|VIRGINIA BEACH, VA\|VIRGINIA BEACH, VA	Previous registration
SCOTT & STRINGFELLOW, LLC	Former SEC adviser	Jan 14, 2005	Jan 10, 2006	no	RICHMOND, VA	Previous registration
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Oct 23, 2003	Jan 7, 2004	no	RICHMOND, VA	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
OSAIC FA, INC.	OCTOBER EFFECT LTD.	Feb 13, 2023	Mar 8, 2023	23	Firm change	Ibd to RIA
SCOTT & STRINGFELLOW, LLC	OSAIC FA, INC.	Jan 10, 2006	Feb 9, 2012	2,221	Firm change after gap	Other
AMERIPRISE FINANCIAL SERVICES, LLC	SCOTT & STRINGFELLOW, LLC	Jan 7, 2004	Jan 14, 2005	373	Firm change	Other

Relationships

Registered with (4)

→ OCTOBER EFFECT LTD.Registered adviserregistration: current employment
Mar 8, 2023 to presentfactForm ADV
→ OSAIC FA, INC.Registered adviserregistration: previous registration
Feb 9, 2012 to Feb 13, 2023factForm ADV
→ SCOTT & STRINGFELLOW, LLCRegistered adviserregistration: previous registration
Jan 14, 2005 to Jan 10, 2006factForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Oct 23, 2003 to Jan 7, 2004factForm ADV

Dated events

Occurred
Feb 13, 2023
Advisor changed firm
Kevin Matthew James left Osaic Fa, Inc. for October Effect Ltd. (registered 2023-03-08)
Form ADVobserved 6 days ago