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
David William James
Feed of 09/14/2026
At current firm
3 y
since Apr 12, 2023
In the industry
42 y
since Feb 22, 1984 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
5
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
- Lone Peak Advisers independent RIA currentsince Apr 12, 2023 · Draper, Ut
- Lone Peak Advisers independent RIASep 20, 2018 to Dec 31, 2022 · Draper, Ut
- Lone Peak Capital Management, LLC state registeredJan 30, 2017 to Mar 23, 2021 · Draper, Ut
- Legacy Planning Group formerFeb 27, 2008 to Dec 31, 2018 · Draper, Ut
- Investment Management Corporation unclassifiedOct 28, 2003 to Dec 10, 2007 · Salt Lake City, Ut
- Eagle Gate Securities, Inc. unclassifiedMay 2, 2003 to Nov 11, 2003 · Salt Lake City, Ut
Moves
a registration end followed by a registration begin elsewhere
- Lone Peak Capital Management, LLC to Lone Peak Advisersleft Mar 23, 2021, registered Sep 20, 2018 (-915 days) · Other · moved with a team
- Legacy Planning Group to Lone Peak Capital Management, LLCleft Dec 31, 2018, registered Jan 30, 2017 (-700 days) · Other · moved with a team
- Investment Management Corporation to Legacy Planning Groupleft Dec 10, 2007, registered Feb 27, 2008 (79 days) · Other
- Eagle Gate Securities, Inc. to Investment Management Corporationleft Nov 11, 2003, registered Oct 28, 2003 (-14 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
- Independent wealth managerderived
- Years in industry
- 42derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address