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 Field Rudwall
Feed of 09/14/2026
Also filed as James Field Rudwall
At current firm
9 y
since Jan 25, 2017
In the industry
43 y
since Oct 21, 1982 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, 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
- Rudwall Wealth Management LLC former currentsince Jan 25, 2017 · Mundelein, Il
- Insight Securities, Inc. mixed wealthJul 11, 2016 to Nov 23, 2016 · Highland Park, Il
- Morgan Stanley wirehouseMar 22, 2016 to Apr 26, 2016 · Chicago, Il
- UBS Financial Services Inc. wirehouseNov 13, 2008 to Apr 7, 2016 · Chicago, Il
- Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseMay 4, 1992 to Nov 15, 2008 · Chicago, Il
Moves
a registration end followed by a registration begin elsewhere
- Insight Securities, Inc. to Rudwall Wealth Management LLCleft Nov 23, 2016, registered Jan 25, 2017 (63 days) · Other
- Morgan Stanley to Insight Securities, Inc.left Apr 26, 2016, registered Jul 11, 2016 (76 days) · Other
- UBS Financial Services Inc. to Morgan Stanleyleft Apr 7, 2016, registered Mar 22, 2016 (-16 days) · Wirehouse to wirehouse · moved with a team
- Merrill Lynch, Pierce, Fenner & Smith Incorporated to UBS Financial Services Inc.left Nov 15, 2008, registered Nov 13, 2008 (-2 days) · Wirehouse to wirehouse
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
- Former SEC-registered adviserderived
- Years in industry
- 43derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address