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 Harol Harrison
Feed of 09/14/2026
Also filed as James Harrison
At current firm
3 y
since May 9, 2023
In the industry
34 y
since May 14, 1992 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- LPL Financial LLC BD affiliated currentsince May 9, 2023 · Birmingham, Al
- Rfg Advisory, LLC independent RIAFeb 23, 2015 to May 9, 2023 · Vestavia Hills, Al
- Ameriprise Financial Services, LLC national BDOct 5, 2009 to Feb 20, 2015 · Birmingham, Al
- Ameriprise Advisor Services, Inc. unclassifiedFeb 21, 2007 to Oct 5, 2009 · Birmingham, Al
- Wells Fargo Advisors wirehouseJun 6, 2006 to Feb 21, 2007 · Birmingham, Al
Moves
a registration end followed by a registration begin elsewhere
- Rfg Advisory, LLC to LPL Financial LLCleft May 9, 2023, registered May 9, 2023 (0 days) · RIA to affiliated broker-dealer or bank
- Ameriprise Financial Services, LLC to Rfg Advisory, LLCleft Feb 20, 2015, registered Feb 23, 2015 (3 days) · Other · moved with a team
- Ameriprise Advisor Services, Inc. to Ameriprise Financial Services, LLCleft Oct 5, 2009, registered Oct 5, 2009 (0 days) · corporate re-registration, not a move
- Wells Fargo Advisors to Ameriprise Advisor Services, Inc.left Feb 21, 2007, registered Feb 21, 2007 (0 days) · Other
Signals
- James Harol Harrison left Rfg Advisory, Llc for Lpl Financial Llc (registered 2023-05-09)May 9, 2023 · 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
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address