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RIA / WealthAdvisordual registered (broker-dealer)43 years in industry

JAMES CARL BAIRD

Advisor at COMPASS ION ADVISORS, LLC

CONSHOHOCKEN, PA | NAPLES, FL | PLYMOUTH MEETING, PA

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Search this name across graphsid dfx:ria:d411c9f2-a3d6-e14e-50ae-4730d2c4f04d

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 6:15 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Sep 7, 2001 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: COMPASS ION ADVISORS, 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: Oct 19, 1982earliest registration or exam on IAPD
Years in industry: 43derivedfrom the industry start date
Years at current firm: 12derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 3
Exams: S63|S65
First exam: Oct 19, 1982
First registration: Sep 7, 2001
Dual registered: yes, broker-dealer
Other names: JAMES C BAIRD|JAMES CARL BAIRD|USAJAMES CARL BAIRD
IAPD individual key: 847959

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
COMPASS ION ADVISORS, LLC	Independent wealth	Nov 22, 2013	n/a	yes	CONSHOHOCKEN, PA\|NAPLES, FL\|PLYMOUTH MEETING, PA	Current employment
EGE ADVISORS, LTD.	n/a	Jan 7, 2009	Dec 5, 2009	no	KING OF PRUSSIA, PA	Previous registration
COMPREHENSIVE CAPITAL MANAGEMENT, INC.	Independent wealth	Dec 2, 2008	Jan 27, 2014	no	TOTOWA, NJ	Previous registration
EGE ADVISORS, LTD.	n/a	Sep 7, 2001	Dec 31, 2008	no	KING OF PRUSSIA, PA	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
COMPREHENSIVE CAPITAL MANAGEMENT, INC.	EGE ADVISORS, LTD.	Jan 27, 2014	Jan 7, 2009	-1,846	Firm change after gap	Other
EGE ADVISORS, LTD.	COMPASS ION ADVISORS, LLC	Dec 5, 2009	Nov 22, 2013	1,448	Firm change after gap	Other
EGE ADVISORS, LTD.	COMPREHENSIVE CAPITAL MANAGEMENT, INC.	Dec 31, 2008	Dec 2, 2008	-29	Firm change	Other

Relationships

Registered with (3)

→ COMPASS ION ADVISORS, LLCRegistered adviserregistration: current employment
Nov 22, 2013 to presentfactForm ADV
→ COMPREHENSIVE CAPITAL MANAGEMENT, INC.Registered adviserregistration: previous registration
Dec 2, 2008 to Jan 27, 2014factForm ADV
→ EGE ADVISORS, LTD.Registered adviserregistration: previous registration
Jan 7, 2009 to Dec 5, 2009factForm ADV

Dated events

No dated event names this entity yet.