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RIA / WealthAdvisor22 years in industry

JAMES PETER BERTRAM

Advisor at BAYNES INVESTMENT COUNSEL LLC

FORT WORTH, TX | Franklin, TN

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Search this name across graphsid dfx:ria:560c6879-a5b5-0d68-06b2-bd16200efcc5

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 5:06 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Mar 5, 2004 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: BAYNES INVESTMENT COUNSEL LLC
Current firm class: state registeredderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Mar 4, 2004earliest 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: 4
Current registrations: 1
Registered states: 2
Exams: S66|S65
First exam: Mar 4, 2004
First registration: Mar 5, 2004
Dual registered: no
IAPD individual key: 4744062

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
BAYNES INVESTMENT COUNSEL LLC	State registered	Mar 21, 2023	n/a	yes	Franklin, TN\|FORT WORTH, TX	Current employment
CNL EDUCATIONAL INSTITUTE, LLC	No RAUM reported	Mar 16, 2020	Jan 11, 2023	no	Franklin, TN\|ORLANDO, FL	Previous registration
NUVEEN ASSET MANAGEMENT, LLC	Mixed wealth	Sep 1, 2011	Jan 21, 2020	no	CHICAGO, IL	Previous registration
NUVEEN FUND ADVISORS, LLC	Asset manager	Oct 24, 2006	Sep 1, 2011	no	CHICAGO, IL	Previous registration
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Mar 5, 2004	Jul 11, 2006	no	CHICAGO, IL\|CHICAGO, IL	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
CNL EDUCATIONAL INSTITUTE, LLC	BAYNES INVESTMENT COUNSEL LLC	Jan 11, 2023	Mar 21, 2023	69	Firm change	Other
NUVEEN ASSET MANAGEMENT, LLC	CNL EDUCATIONAL INSTITUTE, LLC	Jan 21, 2020	Mar 16, 2020	55	Firm change	Other
NUVEEN FUND ADVISORS, LLC	NUVEEN ASSET MANAGEMENT, LLC	Sep 1, 2011	Sep 1, 2011	0	Bulk transfer	Other
AMERIPRISE FINANCIAL SERVICES, LLC	NUVEEN FUND ADVISORS, LLC	Jul 11, 2006	Oct 24, 2006	105	Firm change	Other

Relationships

Registered with (5)

→ BAYNES INVESTMENT COUNSEL LLCRegistered adviserregistration: current employment
Mar 21, 2023 to presentfactForm ADV
→ CNL EDUCATIONAL INSTITUTE, LLCRegistered adviserregistration: previous registration
Mar 16, 2020 to Jan 11, 2023factForm ADV
→ NUVEEN ASSET MANAGEMENT, LLCRegistered adviserregistration: previous registration
Sep 1, 2011 to Jan 21, 2020factForm ADV
→ NUVEEN FUND ADVISORS, LLCRegistered adviserregistration: previous registration
Oct 24, 2006 to Sep 1, 2011factForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Mar 5, 2004 to Jul 11, 2006factForm ADV

Dated events

Occurred
Jan 11, 2023
Advisor changed firm
James Peter Bertram left Cnl Educational Institute, Llc for Baynes Investment Counsel Llc (registered 2023-03-21)
Form ADVobserved 4 days ago