DFX Intelligence

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RIA / WealthAdvisordual registered (broker-dealer)46 years in industry

JAMES BRUCE WHELIHAN

Advisor at WILLIAM BLAIR & COMPANY L.L.C.

WASHINGTON, DC | CHICAGO, IL | BALTIMORE, MD

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:feffc15e-a82a-4b14-56ea-997902bd3200

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:13 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Oct 5, 1998 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: WILLIAM BLAIR & COMPANY L.L.C.
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Apr 24, 1980earliest registration or exam on IAPD
Years in industry: 46derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S65|S63
First exam: Apr 24, 1980
First registration: Oct 5, 1998
Dual registered: yes, broker-dealer
IAPD individual key: 828796

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
WILLIAM BLAIR & COMPANY L.L.C.	Bd affiliated wealth	Sep 10, 2021	n/a	yes	CHICAGO, IL\|CHICAGO, IL\|BALTIMORE, MD\|WASHINGTON, DC	Current employment
BROWN ADVISORY SECURITIES, LLC	Former SEC adviser	Dec 3, 2002	Sep 13, 2021	no	WASHINGTON, DC\|CHEVY CHASE, MD	Previous registration
BROWN ADVISORY SECURITIES, LLC	n/a	Nov 22, 2002	Oct 10, 2003	no	BALTIMORE, MD	Previous registration
DEUTSCHE BANK SECURITIES INC.	No RAUM reported	Oct 5, 1998	Dec 3, 2002	no	WASHINGTON, DC	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
BROWN ADVISORY SECURITIES, LLC	WILLIAM BLAIR & COMPANY L.L.C.	Sep 13, 2021	Sep 10, 2021	-3	Firm change	RIA to ibd
BROWN ADVISORY SECURITIES, LLC	BROWN ADVISORY SECURITIES, LLC	Oct 10, 2003	Dec 3, 2002	-311	Firm change after gap	Other
DEUTSCHE BANK SECURITIES INC.	BROWN ADVISORY SECURITIES, LLC	Dec 3, 2002	Nov 22, 2002	-11	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
120736:1252:MD:2021-09-13	Sep 13, 2021	Sep 10, 2021	CHEVY CHASE, MD	Firm change

Relationships

Registered with (4)

→ WILLIAM BLAIR & COMPANY L.L.C.Registered adviserregistration: current employment
Sep 10, 2021 to presentfactForm ADV
→ BROWN ADVISORY SECURITIES, LLCRegistered adviserregistration: previous registration
Dec 3, 2002 to Sep 13, 2021factForm ADV
→ BROWN ADVISORY SECURITIES, LLCRegistered adviserregistration: previous registration
Nov 22, 2002 to Oct 10, 2003factForm ADV
→ DEUTSCHE BANK SECURITIES INC.Registered adviserregistration: previous registration
Oct 5, 1998 to Dec 3, 2002factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:feffc15e-a82a-4b14-56ea-997902bd3200
First observed: Oct 5, 1998
Last observed: Sep 15, 2026 6 days ago
Source families: Federal regulator filings
1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

JAMES BRUCE WHELIHAN

Advisor at WILLIAM BLAIR & COMPANY L.L.C.

WASHINGTON, DC | CHICAGO, IL | BALTIMORE, MD

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:feffc15e-a82a-4b14-56ea-997902bd3200

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:13 PM UTC and rebuilt at most every 15 minutes.

Firm

Class

Began

Ended

Current

Branch

Basis

WILLIAM BLAIR & COMPANY L.L.C.

Bd affiliated wealth

Sep 10, 2021

n/a

yes

CHICAGO, IL|CHICAGO, IL|BALTIMORE, MD|WASHINGTON, DC

Current employment

BROWN ADVISORY SECURITIES, LLC

Former SEC adviser

Dec 3, 2002

Sep 13, 2021

WASHINGTON, DC|CHEVY CHASE, MD

Previous registration

BROWN ADVISORY SECURITIES, LLC

n/a

Nov 22, 2002

Oct 10, 2003

BALTIMORE, MD

Previous registration

DEUTSCHE BANK SECURITIES INC.

No RAUM reported

Oct 5, 1998

Dec 3, 2002

WASHINGTON, DC

Previous registration

From

Left

Joined

Gap, days

Kind

Move type

BROWN ADVISORY SECURITIES, LLC

WILLIAM BLAIR & COMPANY L.L.C.

Sep 13, 2021

Sep 10, 2021

-3

Firm change

RIA to ibd

BROWN ADVISORY SECURITIES, LLC

Oct 10, 2003

Dec 3, 2002

-311

Firm change after gap

Other

DEUTSCHE BANK SECURITIES INC.

BROWN ADVISORY SECURITIES, LLC

Dec 3, 2002

Nov 22, 2002

-11

Firm change

Other

Team

Left

Joined

From

Kind

120736:1252:MD:2021-09-13

Sep 13, 2021

Sep 10, 2021

CHEVY CHASE, MD

Firm change