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 Francis Baka

U.S. Bancorp Advisors, LLCBD affiliatedNaperville, Ildual registrantIAPD 2068491

Feed of 09/14/2026

Also filed as Jim Baka

At current firm

0 y

since Feb 13, 2026

In the industry

36 y

since Aug 13, 1990 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

U.S. Bancorp Advisors, LLC BD affiliated current
since Feb 13, 2026 · Naperville, Il
U.S. Bancorp Investments, Inc. former
Aug 3, 2023 to Feb 13, 2026 · Sussex, Wi
Transcend Capital Advisors, LLC independent RIA
Sep 30, 2022 to Feb 9, 2023 · Naperville, Il
Calamos Wealth Management LLC independent RIA
Oct 26, 2007 to Mar 3, 2022 · Naperville, Il
Calamos Advisors LLC asset manager
Apr 1, 2003 to Oct 17, 2007 · Naperville, Il
Strategic Advisers LLC national BD
Feb 1, 1999 to Apr 10, 2003 · Chicago, Il

Moves

a registration end followed by a registration begin elsewhere

U.S. Bancorp Investments, Inc. to U.S. Bancorp Advisors, LLC
left Feb 13, 2026, registered Feb 13, 2026 (0 days) · corporate re-registration, not a move
Transcend Capital Advisors, LLC to U.S. Bancorp Investments, Inc.
left Feb 9, 2023, registered Aug 3, 2023 (175 days) · RIA to affiliated broker-dealer or bank
Calamos Wealth Management LLC to Transcend Capital Advisors, LLC
left Mar 3, 2022, registered Sep 30, 2022 (211 days) · RIA to RIA
Calamos Advisors LLC to Calamos Wealth Management LLC
left Oct 17, 2007, registered Oct 26, 2007 (9 days) · Other
Strategic Advisers LLC to Calamos Advisors LLC
left Apr 10, 2003, registered Apr 1, 2003 (-9 days) · Other

Signals

James Francis Baka left Transcend Capital Advisors, Llc for U.S. Bancorp Investments, Inc. (registered 2023-08-03)
Feb 9, 2023 · Advisor changed firm · fact
James Francis Baka left Calamos Wealth Management Llc for Transcend Capital Advisors, Llc (registered 2022-09-30)
Mar 3, 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: Broker-dealer affiliated wealth managerderived
Years in industry: 36derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address