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RIA / WealthAdvisordual registered (broker-dealer)13 years in industry

JAMES ANDREW MITCHELL

Advisor at VANGUARD ADVISERS, INC.

SCOTTSDALE, AZ

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Search this name across graphsid dfx:ria:6fd48629-2c86-a7db-4b96-eda44fff44de

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 1:49 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Aug 12, 2013 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: VANGUARD ADVISERS, INC.
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: Dec 15, 2012earliest registration or exam on IAPD
Years in industry: 13derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Exams: S66
First exam: Dec 15, 2012
First registration: Aug 12, 2013
Dual registered: yes, broker-dealer
Other names: JAMES MITCHELL|JAMES A MITCHELL
IAPD individual key: 3118512

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
VANGUARD ADVISERS, INC.	Bd affiliated wealth	Feb 20, 2025	n/a	yes	SCOTTSDALE, AZ	Current employment
CHARLES SCHWAB & CO., INC.	National bd RIA	May 26, 2020	May 23, 2024	no	Phoenix, AZ	Previous registration
USAA INVESTMENT SERVICES COMPANY	No RAUM reported	Jan 8, 2018	May 24, 2020	no	SAN ANTONIO, TX	Previous registration
USAA FINANCIAL PLANNING SERVICES	Former SEC adviser	Aug 12, 2013	Jan 8, 2018	no	PHOENIX, AZ\|TAMPA, FL	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
CHARLES SCHWAB & CO., INC.	VANGUARD ADVISERS, INC.	May 23, 2024	Feb 20, 2025	273	Firm change	Ibd to ibd
USAA INVESTMENT SERVICES COMPANY	CHARLES SCHWAB & CO., INC.	May 24, 2020	May 26, 2020	2	Bulk transfer	Ibd to ibd
USAA FINANCIAL PLANNING SERVICES	USAA INVESTMENT SERVICES COMPANY	Jan 8, 2018	Jan 8, 2018	0	Bulk transfer	Other

Relationships

Registered with (4)

→ VANGUARD ADVISERS, INC.Registered adviserregistration: current employment
Feb 20, 2025 to presentfactForm ADV
→ CHARLES SCHWAB & CO., INC.Registered adviserregistration: previous registration
May 26, 2020 to May 23, 2024factForm ADV
→ USAA INVESTMENT SERVICES COMPANYRegistered adviserregistration: previous registration
Jan 8, 2018 to May 24, 2020factForm ADV
→ USAA FINANCIAL PLANNING SERVICESRegistered adviserregistration: previous registration
Aug 12, 2013 to Jan 8, 2018factForm ADV

Dated events

Occurred
May 23, 2024
Advisor changed firm
James Andrew Mitchell left Charles Schwab & Co., Inc. for Vanguard Advisers, Inc. (registered 2025-02-20)
Form ADVobserved 3 days ago