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RIA / WealthAdvisorCertified Financial Planner33 years in industry

LEON GREGORY JAMES

Advisor at TUCKER ASSET MANAGEMENT LLC

San Juan Capistrano, CA | LITTLETON, CO

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Search this name across graphsid dfx:ria:dc01c63e-20f4-b01e-fd85-a12762a446b2

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 8:29 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Jan 16, 2003 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: TUCKER ASSET MANAGEMENT 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: Jul 15, 1993earliest registration or exam on IAPD
Years in industry: 33derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner
Exams: S63
First exam: Jul 15, 1993
First registration: Jan 16, 2003
Dual registered: no
Other names: LEON GREGORY JAMES
IAPD individual key: 1055785

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
TUCKER ASSET MANAGEMENT LLC	Independent wealth	Jan 1, 2025	n/a	yes	San Juan Capistrano, CA\|LITTLETON, CO	Current employment
OPTIVEST, INC.	Independent wealth	Mar 18, 2014	Jun 30, 2022	no	SAN JUAN CAPISTRANO, CA	Previous registration
CENTAURUS FINANCIAL, INC.	Bd affiliated wealth	Nov 30, 2007	Mar 3, 2014	no	ANAHEIM, CA\|ANAHEIM, CA\|DANA POINT, CA	Previous registration
ANCHOR CAPITAL	Asset manager	Jan 16, 2003	Aug 12, 2013	no	IRVINE, CA	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
OPTIVEST, INC.	TUCKER ASSET MANAGEMENT LLC	Jun 30, 2022	Jan 1, 2025	916	Firm change after gap	RIA to RIA
CENTAURUS FINANCIAL, INC.	OPTIVEST, INC.	Mar 3, 2014	Mar 18, 2014	15	Firm change	Other
ANCHOR CAPITAL	CENTAURUS FINANCIAL, INC.	Aug 12, 2013	Nov 30, 2007	-2,082	Firm change after gap	Other

Relationships

Registered with (4)

→ TUCKER ASSET MANAGEMENT LLCRegistered adviserregistration: current employment
Jan 1, 2025 to presentfactForm ADV
→ OPTIVEST, INC.Registered adviserregistration: previous registration
Mar 18, 2014 to Jun 30, 2022factForm ADV
→ CENTAURUS FINANCIAL, INC.Registered adviserregistration: previous registration
Nov 30, 2007 to Mar 3, 2014factForm ADV
→ ANCHOR CAPITALRegistered adviserregistration: previous registration
Jan 16, 2003 to Aug 12, 2013factForm ADV

Dated events

Occurred
Jun 30, 2022
Advisor changed firm
Leon Gregory James left Optivest, Inc. for Tucker Asset Management Llc (registered 2025-01-01)
Form ADVobserved 5 days ago