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 Carroll Quinn
Certified Financial Planner
Feed of 09/15/2026
Also filed as Jay Quinn
At current firm
2 y
since Apr 9, 2024
In the industry
34 y
since Jul 10, 1992 (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
1
dated events on this person
Registration history
IAPD current and previous registrations
- Sequent Planning, LLC independent RIA currentsince Apr 9, 2024 · Omaha, Ne
- Allstate Financial Advisors, LLC BD affiliatedFeb 18, 2016 to Apr 8, 2024 · Littleton, Co
- Forta Financial Group, Inc. formerAug 12, 2015 to Feb 12, 2016 · Greenwood Village, Co
- B. C. Ziegler And Company formerJul 11, 2013 to Aug 13, 2015 · Chicago, Il
- Athenainvest Advisors LLC formerApr 26, 2011 to Aug 2, 2013 · Greenwood Village, Co
Moves
a registration end followed by a registration begin elsewhere
- Allstate Financial Advisors, LLC to Sequent Planning, LLCleft Apr 8, 2024, registered Apr 9, 2024 (1 days) · Affiliated broker-dealer or bank to independent RIA
- Forta Financial Group, Inc. to Allstate Financial Advisors, LLCleft Feb 12, 2016, registered Feb 18, 2016 (6 days) · Other
- B. C. Ziegler And Company to Forta Financial Group, Inc.left Aug 13, 2015, registered Aug 12, 2015 (-1 days) · Other
- Athenainvest Advisors LLC to B. C. Ziegler And Companyleft Aug 2, 2013, registered Jul 11, 2013 (-22 days) · Other
Signals
- James Carroll Quinn left Allstate Financial Advisors, Llc for Sequent Planning, Llc (registered 2024-04-09)Apr 8, 2024 · Advisor changed firm · fact
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
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address