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 Barone

Fifth Third Securities, Inc.BD affiliatedBrighton, Mi dual registrantIAPD 1836792

Feed of 09/15/2026

Also filed as Jim Barone

At current firm

6 y

since Feb 28, 2020

In the industry

38 y

since Aug 5, 1988 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

Fifth Third Securities, Inc. BD affiliated current
since Feb 28, 2020 · Warren, Mi
Citizens Securities, Inc. BD affiliated
Apr 13, 2017 to Feb 19, 2020 · Southfield, Mi
Osaic Institutions, Inc. BD affiliated
Jul 1, 2016 to May 1, 2017 · Troy, Mi
Essex National Securities, Inc. former
Sep 17, 2014 to Jul 1, 2016 · Troy, Mi
Huntington Financial Advisors BD affiliated
Apr 4, 2006 to Nov 8, 2013 · Canton, Mi

Moves

a registration end followed by a registration begin elsewhere

Citizens Securities, Inc. to Fifth Third Securities, Inc.
left Feb 19, 2020, registered Feb 28, 2020 (9 days) · Affiliated broker-dealer or bank to another
Osaic Institutions, Inc. to Citizens Securities, Inc.
left May 1, 2017, registered Apr 13, 2017 (-18 days) · Other
Essex National Securities, Inc. to Osaic Institutions, Inc.
left Jul 1, 2016, registered Jul 1, 2016 (0 days) · corporate re-registration, not a move
Huntington Financial Advisors to Essex National Securities, Inc.
left Nov 8, 2013, registered Sep 17, 2014 (313 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: 38derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address