DFX Intelligence

Data Factory

RIA / WealthAdvisor43 years in industry

JAMES FIELD RUDWALL

Advisor at RUDWALL WEALTH MANAGEMENT LLC

MUNDELEIN, IL

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:b509a4ca-e2eb-52a1-f3e3-98eab67f7e05

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 5:13 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: May 4, 1992 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: RUDWALL WEALTH MANAGEMENT LLC
Current firm class: former SEC adviserderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Oct 21, 1982earliest registration or exam on IAPD
Years in industry: 43derivedfrom the industry start date
Years at current firm: 9derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S65|S63
First exam: Oct 21, 1982
First registration: May 4, 1992
Dual registered: no
Other names: JAMES FIELD RUDWALL|JAMES F RUDWALL
IAPD individual key: 1070818

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
RUDWALL WEALTH MANAGEMENT LLC	Former SEC adviser	Jan 25, 2017	n/a	yes	MUNDELEIN, IL	Current employment
INSIGHT SECURITIES, INC.	Mixed wealth	Jul 11, 2016	Nov 23, 2016	no	Highland Park, IL	Previous registration
MORGAN STANLEY	Wirehouse	Mar 22, 2016	Apr 26, 2016	no	Chicago, IL	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	Nov 13, 2008	Apr 7, 2016	no	CHICAGO, IL\|CHICAGO, IL	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	May 4, 1992	Nov 15, 2008	no	CHICAGO, IL\|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
INSIGHT SECURITIES, INC.	RUDWALL WEALTH MANAGEMENT LLC	Nov 23, 2016	Jan 25, 2017	63	Firm change	Other
MORGAN STANLEY	INSIGHT SECURITIES, INC.	Apr 26, 2016	Jul 11, 2016	76	Firm change	Other
UBS FINANCIAL SERVICES INC.	MORGAN STANLEY	Apr 7, 2016	Mar 22, 2016	-16	Firm change	Wirehouse to wirehouse
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	UBS FINANCIAL SERVICES INC.	Nov 15, 2008	Nov 13, 2008	-2	Firm change	Wirehouse to wirehouse

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
8174:149777:IL:2016-04-05	Apr 7, 2016	Mar 22, 2016	CHICAGO, IL	Firm change

Relationships

Registered with (5)

→ RUDWALL WEALTH MANAGEMENT LLCRegistered adviserregistration: current employment
Jan 25, 2017 to presentfactForm ADV
→ INSIGHT SECURITIES, INC.Registered adviserregistration: previous registration
Jul 11, 2016 to Nov 23, 2016factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Mar 22, 2016 to Apr 26, 2016factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Nov 13, 2008 to Apr 7, 2016factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
May 4, 1992 to Nov 15, 2008factForm ADV

Dated events

No dated event names this entity yet.