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 Thomas Rotter
Feed of 09/15/2026
At current firm
8 y
since Feb 14, 2018
In the industry
35 y
since Oct 24, 1990 (earliest exam, job or registration)
Prior registered firms
3
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 Feb 14, 2018 · Millstadt, Il
- Invest Financial Corporation formerJan 2, 2015 to Feb 20, 2018 · Chesterfield, Mo
- U.S. Bancorp Investments, Inc. formerOct 31, 2013 to Dec 17, 2014 · Lake Saint Louis, Mo
- Commerce Brokerage Services, Inc formerMay 4, 2006 to Nov 4, 2013 · Saint Charles, Mo
Moves
a registration end followed by a registration begin elsewhere
- Invest Financial Corporation to LPL Financial LLCleft Feb 20, 2018, registered Feb 14, 2018 (-6 days) · corporate re-registration, not a move
- U.S. Bancorp Investments, Inc. to Invest Financial Corporationleft Dec 17, 2014, registered Jan 2, 2015 (16 days) · Other
- Commerce Brokerage Services, Inc to U.S. Bancorp Investments, Inc.left Nov 4, 2013, registered Oct 31, 2013 (-4 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
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address