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 Raymond Clark
Feed of 09/14/2026
Also filed as James Clark
At current firm
7 y
since Nov 1, 2018
In the industry
33 y
since Jan 18, 1993 (earliest exam, job or registration)
Prior registered firms
7
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- LPL Financial LLC BD affiliated currentsince Nov 1, 2018 · Dallas, Tx
- Balefire, LLC independent RIAJul 13, 2015 to May 17, 2019 · Dallas, Tx
- Cetera Investment Advisers LLC BD affiliatedMay 1, 2014 to Jul 8, 2015 · Dallas, Tx
- Bok Financial Advisors BD affiliatedOct 27, 2009 to May 6, 2014 · Dallas, Tx
- Momentum Independent Network Inc. BD affiliatedJan 8, 2009 to Nov 2, 2009 · Dallas, Tx
- Sanders Morris LLC independent RIAJun 26, 2006 to Jan 30, 2007 · Dallas, Tx
- Smh Capital Advisors LLC institutionalOct 3, 2005 to Dec 31, 2006 · Houston, Tx
- Stephens BD affiliatedMay 1, 2000 to Oct 4, 2005 · Dallas, Tx
Moves
a registration end followed by a registration begin elsewhere
- Balefire, LLC to LPL Financial LLCleft May 17, 2019, registered Nov 1, 2018 (-197 days) · RIA to RIA
- Cetera Investment Advisers LLC to Balefire, LLCleft Jul 8, 2015, registered Jul 13, 2015 (5 days) · Other
- Bok Financial Advisors to Cetera Investment Advisers LLCleft May 6, 2014, registered May 1, 2014 (-5 days) · Other
- Momentum Independent Network Inc. to Bok Financial Advisorsleft Nov 2, 2009, registered Oct 27, 2009 (-6 days) · Other
- Sanders Morris LLC to Momentum Independent Network Inc.left Jan 30, 2007, registered Jan 8, 2009 (709 days) · Other
- Smh Capital Advisors LLC to Sanders Morris LLCleft Dec 31, 2006, registered Jun 26, 2006 (-188 days) · corporate re-registration, not a move
- Stephens to Smh Capital Advisors LLCleft Oct 4, 2005, registered Oct 3, 2005 (-1 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
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address