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RIA / WealthAdvisordual registered (broker-dealer)22 years in industry

JAMES ALLYN FRANKE

Advisor at ROTHSCHILD WEALTH LLC

OAKBROOK, IL | CHICAGO, IL

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 5:43 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 1
Observed: Mar 29, 2005 to Sep 14, 2026

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Venture Capitalidentity

James Allyn Franke

same person, same CRD on Schedule A · confidence 95% · family precision 100%

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: ROTHSCHILD WEALTH LLC
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: Dec 19, 2003earliest registration or exam on IAPD
Years in industry: 22derivedfrom the industry start date
Years at current firm: 14derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 2
Registered states: 2
Exams: S65|S63
First exam: Dec 19, 2003
First registration: Mar 29, 2005
Dual registered: yes, broker-dealer
IAPD individual key: 4728087

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
ROTHSCHILD WEALTH LLC	Independent wealth	Sep 3, 2026	n/a	yes	OAKBROOK, IL\|CHICAGO, IL	Current employment
ROTHSCHILD INVESTMENT	Independent wealth	Dec 15, 2011	n/a	yes	CHICAGO, IL\|CHICAGO, IL	Current employment
ROBERT W. BAIRD & CO. INCORPORATED	Mixed wealth	Aug 17, 2009	Dec 23, 2011	no	CHICAGO, IL	Previous registration
MORGAN STANLEY	Wirehouse	Jun 1, 2009	Sep 4, 2009	no	Chicago, IL	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Mar 29, 2005	Jun 1, 2009	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
ROBERT W. BAIRD & CO. INCORPORATED	ROTHSCHILD INVESTMENT	Dec 23, 2011	Dec 15, 2011	-8	Firm change	Other
MORGAN STANLEY	ROBERT W. BAIRD & CO. INCORPORATED	Sep 4, 2009	Aug 17, 2009	-18	Firm change	Other
CITIGROUP GLOBAL MARKETS INC.	MORGAN STANLEY	Jun 1, 2009	Jun 1, 2009	0	Bulk transfer	Other

Relationships

Registered with (5)

→ ROTHSCHILD WEALTH LLCRegistered adviserregistration: current employment
Sep 3, 2026 to presentfactForm ADV
→ ROTHSCHILD INVESTMENTRegistered adviserregistration: current employment
Dec 15, 2011 to presentfactForm ADV
→ ROBERT W. BAIRD & CO. INCORPORATEDRegistered adviserregistration: previous registration
Aug 17, 2009 to Dec 23, 2011factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 1, 2009 to Sep 4, 2009factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
Mar 29, 2005 to Jun 1, 2009factForm ADV

Dated events

No dated event names this entity yet.