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 G. Pontious
Certified Financial Planner
Feed of 09/15/2026
Also filed as James Gerard Pontious
At current firm
1 y
since Mar 31, 2025
In the industry
34 y
since Apr 3, 1992 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66, 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
- Strategic Advisers LLC national BD currentsince Mar 31, 2025 · Schaumburg, Il
- Fidelity Personal And Workplace Advisors formerMar 11, 2021 to Mar 31, 2025 · Schaumburg, Il
- Advice And Planning Services BD affiliatedMar 29, 2012 to Nov 13, 2020 · Chicago, Il
- Nadler Financial Group, Inc. independent RIAMar 4, 2011 to Dec 5, 2011 · Deerfield, Il
- Charles Schwab & Co., Inc. national BDMay 13, 1999 to Sep 10, 2010 · Lake Forest, Il
Moves
a registration end followed by a registration begin elsewhere
- Fidelity Personal And Workplace Advisors to Strategic Advisers LLCleft Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- Advice And Planning Services to Fidelity Personal And Workplace Advisorsleft Nov 13, 2020, registered Mar 11, 2021 (118 days) · Affiliated broker-dealer or bank to another · moved with a team
- Nadler Financial Group, Inc. to Advice And Planning Servicesleft Dec 5, 2011, registered Mar 29, 2012 (115 days) · Other
- Charles Schwab & Co., Inc. to Nadler Financial Group, Inc.left Sep 10, 2010, registered Mar 4, 2011 (175 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
- National broker-dealer RIAderived
- Years in industry
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address