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RIA / WealthAdvisor21 years in industry

JAMES DAVID GAUNT

Advisor at FORMIDABLE ASSET MANAGEMENT, LLC

Cincinnati, OH

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Search this name across graphsid dfx:ria:93c17ad6-dd33-eda2-db20-4bfd2f46ef76

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 2:07 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Nov 22, 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: FORMIDABLE ASSET MANAGEMENT, LLC
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 14, 2004earliest registration or exam on IAPD
Years in industry: 21derivedfrom the industry start date
Years at current firm: 9derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Oct 14, 2004
First registration: Nov 22, 2004
Dual registered: no
Other names: JAMES GAUNT
IAPD individual key: 4848862

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
FORMIDABLE ASSET MANAGEMENT, LLC	Independent wealth	Apr 21, 2017	n/a	yes	Cincinnati, OH	Current employment
MML INVESTORS SERVICES, LLC	Bd affiliated wealth	Mar 25, 2017	Apr 5, 2017	no	CINCINNATI, OH	Previous registration
MSI FINANCIAL SERVICES, INC.	Former SEC adviser	Aug 28, 2015	Mar 25, 2017	no	CINCINNATI, OH	Previous registration
J.J.B. HILLIARD, W.L. LYONS, LLC	Former SEC adviser	Nov 22, 2004	May 27, 2015	no	CINCINNATI, OH\|CINCINNATI, OH	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
MML INVESTORS SERVICES, LLC	FORMIDABLE ASSET MANAGEMENT, LLC	Apr 5, 2017	Apr 21, 2017	16	Firm change	Other
MSI FINANCIAL SERVICES, INC.	MML INVESTORS SERVICES, LLC	Mar 25, 2017	Mar 25, 2017	0	Bulk transfer	Other
J.J.B. HILLIARD, W.L. LYONS, LLC	MSI FINANCIAL SERVICES, INC.	May 27, 2015	Aug 28, 2015	93	Firm change	Other

Relationships

Registered with (4)

→ FORMIDABLE ASSET MANAGEMENT, LLCRegistered adviserregistration: current employment
Apr 21, 2017 to presentfactForm ADV
→ MML INVESTORS SERVICES, LLCRegistered adviserregistration: previous registration
Mar 25, 2017 to Apr 5, 2017factForm ADV
→ MSI FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
Aug 28, 2015 to Mar 25, 2017factForm ADV
→ J.J.B. HILLIARD, W.L. LYONS, LLCRegistered adviserregistration: previous registration
Nov 22, 2004 to May 27, 2015factForm ADV

Dated events

No dated event names this entity yet.