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

FISHER\SMB

Current firm class

institutional managerderived

Book size

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

Industry start

Jul 28, 2008earliest registration or exam on IAPD

Years in industry

18derivedfrom the industry start date

Years at current firm

0derivedfrom the current registration's begin date

Prior firms

1

Current registrations

1

Registered states

1

Exams

S63|S65

First exam

Jul 28, 2008

First registration

Mar 12, 2014

Dual registered

no

Other names

JAMES HUMPHRIES

IAPD individual key

5495477

• Occurred

  May 4, 2026
  Advisor changed firm

  James Wesley Humphries left Advice And Planning Services for Fisher\Smb (registered 2026-05-22)

  Form ADVobserved 5 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:89be7b4b-74e7-96e5-e026-e773ca03f5a3

First observed

Mar 12, 2014

Last observed

Sep 14, 2026 6 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.