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RIA / WealthAdvisor11 years in industry

JAMES HARRISON RANDALL

Advisor at CORIENT

Frisco, TX

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Search this name across graphsid dfx:ria:fc3f8644-19d3-5cdc-04b0-13d65a98a2d6

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 9:49 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Feb 12, 2019 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: CORIENT
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: Jan 1, 2015earliest registration or exam on IAPD
Years in industry: 11derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Exams: S63|S66
First exam: Jul 18, 2018
First registration: Feb 12, 2019
Dual registered: no
Other names: JAMES HARRISON RANDALL|HARRISON RANDALL|JAMES RANDALL
IAPD individual key: 7033271

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
Corient	Independent wealth	Jul 14, 2026	n/a	yes	Frisco, TX	Current employment
CAPITAL ADVISORS, INC.	Former SEC adviser	Oct 31, 2022	Jul 17, 2026	no	FRISCO, TX\|TULSA, OK	Previous registration
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC	No RAUM reported	Aug 11, 2021	Nov 3, 2022	no	Gilbert, AZ\|IRVING, TX	Previous registration
EDWARD JONES	National bd RIA	Feb 12, 2019	Feb 4, 2021	no	Scottsdale, AZ\|ST LOUIS, MO\|PEORIA, AZ\|SUN CITY, 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
CAPITAL ADVISORS, INC.	Corient	Jul 17, 2026	Jul 14, 2026	-3	Bulk transfer	RIA to RIA
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC	CAPITAL ADVISORS, INC.	Nov 3, 2022	Oct 31, 2022	-3	Firm change	Other
EDWARD JONES	NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC	Feb 4, 2021	Aug 11, 2021	188	Firm change	Other

Relationships

Registered with (4)

→ CORIENTRegistered adviserregistration: current employment
Jul 14, 2026 to presentfactForm ADV
→ CAPITAL ADVISORS, INC.Registered adviserregistration: previous registration
Oct 31, 2022 to Jul 17, 2026factForm ADV
→ NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLCRegistered adviserregistration: previous registration
Aug 11, 2021 to Nov 3, 2022factForm ADV
→ EDWARD JONESRegistered adviserregistration: previous registration
Feb 12, 2019 to Feb 4, 2021factForm ADV

Dated events

Occurred
Nov 3, 2022
Advisor changed firm
James Harrison Randall left Northwestern Mutual Investment Services,Llc for Capital Advisors, Inc. (registered 2022-10-31)
Form ADVobserved 4 days ago