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RIA / WealthAdvisor21 years in industry

JAMES PATRICK MARX

Advisor at PRIME CAPITAL FINANCIAL

OVERLAND PARK, KS | White Plains, NY

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Search this name across graphsid dfx:ria:dac595b9-45db-ee12-550d-d0dc0f623b2e

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 4:22 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 2
On other graphs: 0
Observed: Nov 30, 2004 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: PRIME CAPITAL FINANCIAL
Current firm class: mixed wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Nov 19, 2004earliest registration or exam on IAPD
Years in industry: 21derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 4
Exams: S66|S63|S65
First exam: Nov 19, 2004
First registration: Nov 30, 2004
Dual registered: no
Other names: Jim Patrick Marx
IAPD individual key: 2216799

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
PRIME CAPITAL FINANCIAL	Mixed wealth	Aug 4, 2025	n/a	yes	White Plains, NY\|OVERLAND PARK, KS	Current employment
ALERA INVESTMENT ADVISORS, LLC	Mixed wealth	Oct 16, 2024	Jun 11, 2025	no	Rochester, NY\|DEERFIELD, IL	Previous registration
EDELMAN FINANCIAL ENGINES	Independent wealth	Oct 12, 2018	Nov 1, 2024	no	WHITE PLAINS, NY\|Ossining, NY	Previous registration
EDELMAN FINANCIAL SERVICES, LLC	Former SEC adviser	Sep 13, 2011	Nov 1, 2018	no	FAIRFAX, VA\|WHITE PLAINS, NY	Previous registration
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Former SEC adviser	Nov 30, 2004	Apr 25, 2006	no	BELLEVUE, NE	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
ALERA INVESTMENT ADVISORS, LLC	PRIME CAPITAL FINANCIAL	Jun 11, 2025	Aug 4, 2025	54	Firm change	RIA to RIA
EDELMAN FINANCIAL ENGINES	ALERA INVESTMENT ADVISORS, LLC	Nov 1, 2024	Oct 16, 2024	-16	Firm change	RIA to RIA
EDELMAN FINANCIAL SERVICES, LLC	EDELMAN FINANCIAL ENGINES	Nov 1, 2018	Oct 12, 2018	-20	Bulk transfer	Ibd to RIA
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	EDELMAN FINANCIAL SERVICES, LLC	Apr 25, 2006	Sep 13, 2011	1,967	Firm change after gap	Other

Relationships

Registered with (5)

→ PRIME CAPITAL FINANCIALRegistered adviserregistration: current employment
Aug 4, 2025 to presentfactForm ADV
→ ALERA INVESTMENT ADVISORS, LLCRegistered adviserregistration: previous registration
Oct 16, 2024 to Jun 11, 2025factForm ADV
→ EDELMAN FINANCIAL ENGINESRegistered adviserregistration: previous registration
Oct 12, 2018 to Nov 1, 2024factForm ADV
→ EDELMAN FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Sep 13, 2011 to Nov 1, 2018factForm ADV
→ TD AMERITRADE INVESTMENT MANAGEMENT, LLCRegistered adviserregistration: previous registration
Nov 30, 2004 to Apr 25, 2006factForm ADV

Dated events

Occurred
Jun 11, 2025
Advisor changed firm
James Patrick Marx left Alera Investment Advisors, Llc for Prime Capital Financial (registered 2025-08-04)
Form ADVobserved 6 days ago
Occurred
Nov 1, 2024
Advisor changed firm
James Patrick Marx left Edelman Financial Engines for Alera Investment Advisors, Llc (registered 2024-10-16)
Form ADVobserved 6 days ago