DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
Registered advisor
James Richard Johnson
Chartered Financial Consultant
Feed of 09/14/2026
Also filed as Jim Johnson
At current firm
21 y
since Aug 30, 2005
In the industry
44 y
since Dec 14, 1981 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
5
current, as an IAR
Firms today
1
current registrations
Exams
S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Oneamerica Securities, Inc. BD affiliated currentsince Aug 30, 2005 · Carmel, In
- Securian Financial Services, Inc. formerOct 21, 2002 to Aug 23, 2005 · Carmel, In
Moves
a registration end followed by a registration begin elsewhere
- Securian Financial Services, Inc. to Oneamerica Securities, Inc.left Aug 23, 2005, registered Aug 30, 2005 (7 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 44derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address