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 C. Leo

Leo Wealth Management, LLCindependent RIAStaten Island, NyIA-onlyIAPD 1911418

Feed of 09/14/2026

Also filed as Jim Leo

At current firm

0 y

since Nov 7, 2025

In the industry

37 y

since Aug 29, 1989 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

Leo Wealth Management, LLC independent RIA current
since Nov 7, 2025 · Staten Island, Ny
Osaic Advisory Services, LLC BD affiliated
Oct 15, 2024 to Dec 2, 2025 · Atlanta, Ga
Osaic Wealth, Inc. BD affiliated
Oct 11, 2024 to Oct 11, 2024 · Staten Island, Ny
American Portfolios Advisors, Inc former
Nov 17, 2022 to Oct 11, 2024 · Holbrook, Ny
LPL Financial LLC BD affiliated
Nov 8, 2022 to Dec 8, 2022 · Staten Island, Ny
American Portfolios Advisors, Inc former
May 18, 2015 to Nov 8, 2022 · Holbrook, Ny
LPL Financial LLC BD affiliated
May 9, 2014 to May 6, 2015 · Staten Island, Ny

Moves

a registration end followed by a registration begin elsewhere

Osaic Advisory Services, LLC to Leo Wealth Management, LLC
left Dec 2, 2025, registered Nov 7, 2025 (-25 days) · Affiliated broker-dealer or bank to a newly registered adviser
Osaic Wealth, Inc. to Osaic Advisory Services, LLC
left Oct 11, 2024, registered Oct 15, 2024 (4 days) · Affiliated broker-dealer or bank to another · moved with a team
American Portfolios Advisors, Inc to Osaic Wealth, Inc.
left Oct 11, 2024, registered Oct 11, 2024 (0 days) · corporate re-registration, not a move
LPL Financial LLC to American Portfolios Advisors, Inc
left Dec 8, 2022, registered Nov 17, 2022 (-21 days) · RIA to affiliated broker-dealer or bank
American Portfolios Advisors, Inc to LPL Financial LLC
left Nov 8, 2022, registered Nov 8, 2022 (0 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
LPL Financial LLC to American Portfolios Advisors, Inc
left May 6, 2015, registered May 18, 2015 (12 days) · Other

Signals

James C. Leo left Osaic Advisory Services, Llc for Leo Wealth Management, Llc (registered 2025-11-07)
Dec 2, 2025 · Advisor changed firm · fact
James C. Leo left Osaic Wealth, Inc. for Osaic Advisory Services, Llc (registered 2024-10-15)
Oct 11, 2024 · Advisor changed firm · fact
James C. Leo left Lpl Financial Llc for American Portfolios Advisors, Inc (registered 2022-11-17)
Dec 8, 2022 · Advisor changed firm · fact
James C. Leo left American Portfolios Advisors, Inc for Lpl Financial Llc (registered 2022-11-08)
Nov 8, 2022 · 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: 37derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address