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RIA / WealthAdvisorCertified Financial Planner18 years in industry

JAMES E ROBERTS

Advisor at INTENTIONAL

FORT MILL, SC

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Search this name across graphsid dfx:ria:cec3b573-cfdb-5444-fbe0-049fc15bca4e

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 12:20 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Mar 12, 2008 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: INTENTIONAL
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: Mar 11, 2008earliest registration or exam on IAPD
Years in industry: 18derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner
Exams: S66
First exam: Mar 11, 2008
First registration: Mar 12, 2008
Dual registered: no
IAPD individual key: 5401304

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
Intentional	Independent wealth	Jan 1, 2026	n/a	yes	FORT MILL, SC	Current employment
CIC WEALTH, LLC	Former SEC adviser	Mar 18, 2019	Mar 9, 2022	no	ROCKVILLE, MD\|Fort Mill, SC	Previous registration
COMMONWEALTH FINANCIAL NETWORK	National bd RIA	Jun 27, 2016	Mar 5, 2019	no	BETHESDA, MD	Previous registration
CETERA ADVISORS LLC	Former SEC adviser	Sep 25, 2012	Jun 27, 2016	no	MT PLEASANT, SC\|BOYDS, MD	Previous registration
PRUCO SECURITIES, LLC	No RAUM reported	Sep 6, 2012	Sep 24, 2012	no	CHARLOTTE, NC	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	Mar 12, 2008	Aug 24, 2012	no	ROCKVILLE, MD\|BETHESDA, MD\|CHANTILLY, VA\|LEESBURG, VA\|FAIRFAX, VA\|FAIRFAX, VA\|VIENNA, VA\|ROCKVILLE, MD\|BETHESDA, MD	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
CIC WEALTH, LLC	Intentional	Mar 9, 2022	Jan 1, 2026	1,394	Firm change after gap	RIA to RIA
COMMONWEALTH FINANCIAL NETWORK	CIC WEALTH, LLC	Mar 5, 2019	Mar 18, 2019	13	Firm change	Ibd to RIA
CETERA ADVISORS LLC	COMMONWEALTH FINANCIAL NETWORK	Jun 27, 2016	Jun 27, 2016	0	Firm change	Other
PRUCO SECURITIES, LLC	CETERA ADVISORS LLC	Sep 24, 2012	Sep 25, 2012	1	Firm change	Other
LPL FINANCIAL LLC	PRUCO SECURITIES, LLC	Aug 24, 2012	Sep 6, 2012	13	Firm change	Other

Relationships

Registered with (6)

→ INTENTIONALRegistered adviserregistration: current employment
Jan 1, 2026 to presentfactForm ADV
→ CIC WEALTH, LLCRegistered adviserregistration: previous registration
Mar 18, 2019 to Mar 9, 2022factForm ADV
→ COMMONWEALTH FINANCIAL NETWORKRegistered adviserregistration: previous registration
Jun 27, 2016 to Mar 5, 2019factForm ADV
→ CETERA ADVISORS LLCRegistered adviserregistration: previous registration
Sep 25, 2012 to Jun 27, 2016factForm ADV
→ PRUCO SECURITIES, LLCRegistered adviserregistration: previous registration
Sep 6, 2012 to Sep 24, 2012factForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Mar 12, 2008 to Aug 24, 2012factForm ADV

Dated events

Occurred
Mar 9, 2022
Advisor changed firm
James E Roberts left Cic Wealth, Llc for Intentional (registered 2026-01-01)
Form ADVobserved 4 days ago