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RIA / WealthAdvisor29 years in industry

JAMES C MARSHAL

Advisor at THE INSTITUTE

DENVER, CO | MELBOURNE, FL

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Search this name across graphsid dfx:ria:a7465c4e-cf56-e576-f683-08648543fea6

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 5:29 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jan 19, 2001 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: THE INSTITUTE
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: Apr 15, 1997earliest registration or exam on IAPD
Years in industry: 29derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S63|S65
First exam: Apr 15, 1997
First registration: Jan 19, 2001
Dual registered: no
Other names: JIM AUSTIN CUNDIFF|JAMES A CUNDIFF|JAMES AUSTIN CUNDIFF
IAPD individual key: 2161635

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
THE INSTITUTE	Independent wealth	Dec 17, 2025	n/a	yes	DENVER, CO\|MELBOURNE, FL	Current employment
INSTITUTE FOR WEALTH ADVISORS, INC.	Former SEC adviser	Mar 27, 2013	Apr 30, 2019	no	MELBOURNE, FL	Previous registration
Spc	Bd affiliated wealth	Jan 13, 2004	Mar 4, 2013	no	MELBOURNE, FL\|MELBOURNE, FL	Previous registration
SUMMIT FINANCIAL GROUP INC	Former SEC adviser	Jan 19, 2001	Sep 12, 2003	no	INDIALANTIC, 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
INSTITUTE FOR WEALTH ADVISORS, INC.	THE INSTITUTE	Apr 30, 2019	Dec 17, 2025	2,423	Firm change after gap	RIA to RIA
Spc	INSTITUTE FOR WEALTH ADVISORS, INC.	Mar 4, 2013	Mar 27, 2013	23	Firm change	Other
SUMMIT FINANCIAL GROUP INC	Spc	Sep 12, 2003	Jan 13, 2004	123	Firm change	Other

Relationships

Registered with (4)

→ THE INSTITUTERegistered adviserregistration: current employment
Dec 17, 2025 to presentfactForm ADV
→ INSTITUTE FOR WEALTH ADVISORS, INC.Registered adviserregistration: previous registration
Mar 27, 2013 to Apr 30, 2019factForm ADV
→ SPCRegistered adviserregistration: previous registration
Jan 13, 2004 to Mar 4, 2013factForm ADV
→ SUMMIT FINANCIAL GROUP INCRegistered adviserregistration: previous registration
Jan 19, 2001 to Sep 12, 2003factForm ADV

Dated events

No dated event names this entity yet.