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.

Current firm

STEPHENS

Current firm class

broker-dealer affiliated wealth managerderived

Book size

not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none

Industry start

Jun 1, 1995earliest registration or exam on IAPD

Years in industry

31derivedfrom the industry start date

Years at current firm

0derivedfrom the current registration's begin date

Prior firms

2

Current registrations

1

Registered states

2

Designations

Chartered Financial Analyst

Exams

S65|S66|S63

First exam

Jun 1, 1995

First registration

May 12, 2021

Dual registered

yes, broker-dealer

Other names

JAMES WILLAIM THOMPSON|BILL THOMPSON

IAPD individual key

2598728

• Occurred

  Mar 6, 2026
  Advisor changed firm

  James William Thompson left Sallux Investments Llc for Stephens (registered 2026-02-23)

  Form ADVobserved 6 days ago
• Occurred

  Nov 1, 2023
  Advisor changed firm

  James William Thompson left Prodeo Asset Management, Llp for Sallux Investments Llc (registered 2023-12-12)

  Form ADVobserved 6 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:6c51cc68-09f3-4ecc-86ae-a3fb1df9227f

First observed

May 12, 2021

Last observed

Sep 14, 2026 7 days ago

Source families

Federal regulator filings

1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.

Resolution

Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.