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 Ballor

Charles Schwab & Co., Inc.national BDOak Brook, Ildual registrantIAPD 2132716
Feed of 09/14/2026
Also filed as Jim Ballor
At current firm
3 y
since May 18, 2023
In the industry
35 y
since Apr 2, 1991 (earliest exam, job or registration)
Prior registered firms
11
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
IA exams only
Book size
not public
not estimated here
Signals
2
dated events on this person
Registration history
IAPD current and previous registrations
Moves
a registration end followed by a registration begin elsewhere
Signals
  • James Ballor left Wintrust Investments for Charles Schwab & Co., Inc. (registered 2023-05-18)
    May 3, 2023 · Advisor changed firm · fact
  • James Ballor left Mariner for Wintrust Investments (registered 2023-01-03)
    Sep 26, 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
National broker-dealer RIAderived
Years in industry
35derivedfrom the earliest dated exam, employment or registration
Not published
disclosure flags, outside business text, branch street address