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

OSAIC WEALTH, INC.

Current firm class

broker-dealer affiliated wealth managerderived

Book size

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

Industry start

Jun 1, 2010earliest registration or exam on IAPD

Years in industry

16derivedfrom the industry start date

Years at current firm

0derivedfrom the current registration's begin date

Prior firms

2

Current registrations

1

Registered states

1

Exams

S66

First exam

Feb 8, 2023

First registration

Feb 10, 2023

Dual registered

yes, broker-dealer

Other names

Jim Allan|James Thomas Allan

IAPD individual key

7662916

• Occurred

  Sep 18, 2025
  Advisor changed firm

  James Allan left Thrivent Investment Management Inc. for Osaic Wealth, Inc. (registered 2026-02-04)

  Form ADVobserved 5 days ago
• Occurred

  Oct 28, 2024
  Advisor changed firm

  James Allan left Edward Jones for Thrivent Investment Management Inc. (registered 2024-10-30)

  Form ADVobserved 5 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:ba5363da-e221-e1ab-fd21-b746b6cfa78d

First observed

Feb 10, 2023

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.