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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)10 years in industry

JAMES RYAN ORTH

Advisor at CAPITAL CLIENT GROUP, INC.

San Antonio, TX | SAN ANTONIO, TX

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Search this name across graphsid dfx:ria:c37a3d32-d6ee-defe-214b-14f3dc06479a

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 11:01 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Oct 13, 2016 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: CAPITAL CLIENT GROUP, INC.
Current firm class: no raum reportedderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jan 1, 2016earliest registration or exam on IAPD
Years in industry: 10derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner
Exams: S66
First exam: Feb 23, 2016
First registration: Oct 13, 2016
Dual registered: yes, broker-dealer
Other names: JAMES RYAN ORTH|James Orth
IAPD individual key: 6347396

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
CAPITAL CLIENT GROUP, INC.	No RAUM reported	Jun 21, 2022	n/a	yes	SAN ANTONIO, TX\|San Antonio, TX	Current employment
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Dec 12, 2019	Jun 2, 2022	no	SAN ANTONIO, TX	Previous registration
MML INVESTORS SERVICES, LLC	Bd affiliated wealth	Jul 1, 2019	Oct 3, 2019	no	San Antonio, TX	Previous registration
EQUITABLE ADVISORS, LLC	National bd RIA	Aug 20, 2018	Jun 18, 2019	no	San Antonio, TX\|SAN ANTONIO, TX\|SAN ANTONIO, TX	Previous registration
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Oct 13, 2016	May 2, 2018	no	SAN ANTONIO, TX\|SAN ANTONIO, TX	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
AMERIPRISE FINANCIAL SERVICES, LLC	CAPITAL CLIENT GROUP, INC.	Jun 2, 2022	Jun 21, 2022	19	Firm change	Other
MML INVESTORS SERVICES, LLC	AMERIPRISE FINANCIAL SERVICES, LLC	Oct 3, 2019	Dec 12, 2019	70	Firm change	Ibd to ibd
EQUITABLE ADVISORS, LLC	MML INVESTORS SERVICES, LLC	Jun 18, 2019	Jul 1, 2019	13	Firm change	Ibd to ibd
AMERIPRISE FINANCIAL SERVICES, LLC	EQUITABLE ADVISORS, LLC	May 2, 2018	Aug 20, 2018	110	Firm change	Ibd to ibd

Relationships

Registered with (4)

→ CAPITAL CLIENT GROUP, INC.Registered adviserregistration: current employment
Jun 21, 2022 to presentfactForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Dec 12, 2019 to Jun 2, 2022factForm ADV
→ MML INVESTORS SERVICES, LLCRegistered adviserregistration: previous registration
Jul 1, 2019 to Oct 3, 2019factForm ADV
→ EQUITABLE ADVISORS, LLCRegistered adviserregistration: previous registration
Aug 20, 2018 to Jun 18, 2019factForm ADV

Dated events

Occurred
Jun 2, 2022
Advisor changed firm
James Ryan Orth left Ameriprise Financial Services, Llc for Capital Client Group, Inc. (registered 2022-06-21)
Form ADVobserved 5 days ago