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RIA / WealthAdvisor20 years in industry

JAMES LEE COOK

Advisor at EDELMAN FINANCIAL ENGINES

PHOENIX, AZ

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Search this name across graphsid dfx:ria:f394343c-8e73-b10c-89c7-b7bb5bb85911

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 5:28 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 1
On other graphs: 0
Observed: Mar 6, 2006 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: EDELMAN FINANCIAL ENGINES
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 6, 2006earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 2
Exams: S66
First exam: Aug 30, 2021
First registration: Mar 6, 2006
Dual registered: no
Other names: JAMES COOK|JAMIE COOK|JAMES L. COOK|JAMES L COOK
IAPD individual key: 5025369

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
EDELMAN FINANCIAL ENGINES	Independent wealth	Dec 11, 2024	n/a	yes	PHOENIX, AZ	Current employment
VANGUARD ADVISERS, INC.	Bd affiliated wealth	Nov 8, 2021	Jul 18, 2024	no	Scottsdale, AZ	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Aug 16, 2013	Apr 10, 2014	no	CHANDLER, AZ	Previous registration
USAA FINANCIAL PLANNING SERVICES	Former SEC adviser	Mar 11, 2008	Jul 3, 2013	no	PHOENIX, AZ	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	Oct 9, 2007	Jan 31, 2008	no	PHOENIX, AZ\|SURPRISE, AZ\|PHOENIX, AZ\|FORT MILL, SC\|PHOENIX, AZ\|SCOTTSDALE, AZ	Previous registration
UVEST FINANCIAL SERVICES GROUP, INC.	n/a	Mar 21, 2007	Oct 9, 2007	no	PHOENIX, AZ	Previous registration
EQUITABLE ADVISORS, LLC	National bd RIA	Mar 6, 2006	Mar 6, 2007	no	SCOTTSDALE, AZ\|SCOTTSDALE, AZ	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
VANGUARD ADVISERS, INC.	EDELMAN FINANCIAL ENGINES	Jul 18, 2024	Dec 11, 2024	146	Firm change	Ibd to RIA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	VANGUARD ADVISERS, INC.	Apr 10, 2014	Nov 8, 2021	2,769	Firm change after gap	Wirehouse to ibd
USAA FINANCIAL PLANNING SERVICES	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Jul 3, 2013	Aug 16, 2013	44	Firm change	Other
LPL FINANCIAL LLC	USAA FINANCIAL PLANNING SERVICES	Jan 31, 2008	Mar 11, 2008	40	Firm change	Other
UVEST FINANCIAL SERVICES GROUP, INC.	LPL FINANCIAL LLC	Oct 9, 2007	Oct 9, 2007	0	Firm change	Other
EQUITABLE ADVISORS, LLC	UVEST FINANCIAL SERVICES GROUP, INC.	Mar 6, 2007	Mar 21, 2007	15	Firm change	Other

Relationships

Registered with (7)

→ EDELMAN FINANCIAL ENGINESRegistered adviserregistration: current employment
Dec 11, 2024 to presentfactForm ADV
→ VANGUARD ADVISERS, INC.Registered adviserregistration: previous registration
Nov 8, 2021 to Jul 18, 2024factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Aug 16, 2013 to Apr 10, 2014factForm ADV
→ USAA FINANCIAL PLANNING SERVICESRegistered adviserregistration: previous registration
Mar 11, 2008 to Jul 3, 2013factForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Oct 9, 2007 to Jan 31, 2008factForm ADV
→ UVEST FINANCIAL SERVICES GROUP, INC.Registered adviserregistration: previous registration
Mar 21, 2007 to Oct 9, 2007factForm ADV
→ EQUITABLE ADVISORS, LLCRegistered adviserregistration: previous registration
Mar 6, 2006 to Mar 6, 2007factForm ADV

Dated events

Occurred
Jul 18, 2024
Advisor changed firm
James Lee Cook left Vanguard Advisers, Inc. for Edelman Financial Engines (registered 2024-12-11)
Form ADVobserved 6 days ago