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RIA / WealthAdvisordual registered (broker-dealer)27 years in industry

JAMES HOFHEIMER

Advisor at MORGAN STANLEY

Chicago, IL | Weaverville, NC

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Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 12:37 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: May 12, 1999 to Sep 15, 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: MORGAN STANLEY
Current firm class: wirehousederived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Mar 15, 1999earliest registration or exam on IAPD
Years in industry: 27derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 3
Exams: S63|S66
First exam: Mar 15, 1999
First registration: May 12, 1999
Dual registered: yes, broker-dealer
Other names: JIM HOFHEIMER
IAPD individual key: 851441

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
MORGAN STANLEY	Wirehouse	Jul 28, 2023	n/a	yes	Weaverville, NC\|Chicago, IL	Current employment
TIDAL INVESTMENTS LLC	Asset manager	Feb 11, 2019	Aug 23, 2023	no	Chicago, IL	Previous registration
ROTHSCHILD INVESTMENT	Independent wealth	Jun 16, 2014	Aug 4, 2017	no	CHICAGO, IL\|CHICAGO, IL	Previous registration
MORGAN STANLEY	Wirehouse	Jun 1, 2009	Jun 25, 2014	no	Chicago, IL	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Feb 3, 2006	Jun 1, 2009	no	CHICAGO, IL	Previous registration
MORGAN STANLEY DW INC.	n/a	May 12, 1999	Feb 6, 2006	no	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
TIDAL INVESTMENTS LLC	MORGAN STANLEY	Aug 23, 2023	Jul 28, 2023	-26	Firm change	Other
ROTHSCHILD INVESTMENT	TIDAL INVESTMENTS LLC	Aug 4, 2017	Feb 11, 2019	556	Firm change after gap	Other
MORGAN STANLEY	ROTHSCHILD INVESTMENT	Jun 25, 2014	Jun 16, 2014	-9	Firm change	Other
CITIGROUP GLOBAL MARKETS INC.	MORGAN STANLEY	Jun 1, 2009	Jun 1, 2009	0	Bulk transfer	Other
MORGAN STANLEY DW INC.	CITIGROUP GLOBAL MARKETS INC.	Feb 6, 2006	Feb 3, 2006	-3	Firm change	Other

Relationships

Registered with (5)

→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 1, 2009 to Jun 25, 2014factForm ADV
→ TIDAL INVESTMENTS LLCRegistered adviserregistration: previous registration
Feb 11, 2019 to Aug 23, 2023factForm ADV
→ ROTHSCHILD INVESTMENTRegistered adviserregistration: previous registration
Jun 16, 2014 to Aug 4, 2017factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
Feb 3, 2006 to Jun 1, 2009factForm ADV
→ MORGAN STANLEY DW INC.Registered adviserregistration: previous registration
May 12, 1999 to Feb 6, 2006factForm ADV

Dated events

Occurred
Aug 23, 2023
Advisor changed firm
James Hofheimer left Tidal Investments Llc for Morgan Stanley (registered 2023-07-28)
Form ADVobserved 4 days ago