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 Neal Turner

LPL Enterprise, LLCBD affiliatedPlano, Txdual registrantIAPD 2068968

Feed of 09/14/2026

Also filed as J Neal Turner

At current firm

1 y

since Nov 14, 2024

In the industry

36 y

since Jul 30, 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

LPL Enterprise, LLC BD affiliated current
since Nov 14, 2024 · Plano, Tx
Pruco Securities, LLC no RAUM
Jun 26, 2020 to Nov 14, 2024 · Plano, Tx
First Command Advisory Services BD affiliated
Nov 29, 2016 to Jun 25, 2020 · Plano, Tx
Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse
Sep 10, 2015 to May 10, 2016 · Frisco, Tx
Westpark Wealth Advisors, Inc. independent RIA
Apr 21, 2014 to Aug 10, 2015 · Plano, Tx
Wfg Advisors, LP former
Apr 29, 2009 to Apr 22, 2014 · Plano, Tx
Fortitude Advisory Group L.L.C. independent RIA
Oct 9, 2007 to May 28, 2009 · Gig Harbor, Wa
UBS Financial Services Inc. wirehouse
Oct 17, 2005 to Nov 5, 2007 · Dallas, Tx
Citigroup Global Markets Inc. BD affiliated
Jun 24, 2002 to Oct 20, 2005 · San Antonio, Tx

Moves

a registration end followed by a registration begin elsewhere

Pruco Securities, LLC to LPL Enterprise, LLC
left Nov 14, 2024, registered Nov 14, 2024 (0 days) · corporate re-registration, not a move
First Command Advisory Services to Pruco Securities, LLC
left Jun 25, 2020, registered Jun 26, 2020 (1 days) · Affiliated broker-dealer or bank to another
Merrill Lynch, Pierce, Fenner & Smith Incorporated to First Command Advisory Services
left May 10, 2016, registered Nov 29, 2016 (203 days) · Other
Westpark Wealth Advisors, Inc. to Merrill Lynch, Pierce, Fenner & Smith Incorporated
left Aug 10, 2015, registered Sep 10, 2015 (31 days) · Other
Wfg Advisors, LP to Westpark Wealth Advisors, Inc.
left Apr 22, 2014, registered Apr 21, 2014 (-1 days) · Other
Fortitude Advisory Group L.L.C. to Wfg Advisors, LP
left May 28, 2009, registered Apr 29, 2009 (-29 days) · Other
UBS Financial Services Inc. to Fortitude Advisory Group L.L.C.
left Nov 5, 2007, registered Oct 9, 2007 (-27 days) · Other
Citigroup Global Markets Inc. to UBS Financial Services Inc.
left Oct 20, 2005, registered Oct 17, 2005 (-3 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: 36derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address