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

David Patrick Leathers

J. W. Cole Advisors, Inc.BD affiliatedCumming, Ga dual registrantIAPD 2253342

Feed of 09/14/2026

At current firm

2 y

since Nov 30, 2023

In the industry

34 y

since Jul 30, 1992 (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

J. W. Cole Advisors, Inc. BD affiliated current
since Nov 30, 2023 · Cumming, Ga
Cetera Advisors LLC former
Oct 3, 2016 to Nov 29, 2023 · Cumming, Ga
Investors Capital Advisory former
Dec 5, 2014 to Oct 3, 2016 · Cumming, Ga
LPL Financial LLC BD affiliated
Feb 14, 2011 to Dec 17, 2014 · Cumming, Ga
Qa3 Financial LLC unclassified
Jun 30, 2006 to Feb 11, 2011 · Cumming, Ga
Osaic Fs, Inc. former
Apr 17, 2003 to Jul 19, 2006 · Cumming, Ga
Independent Advisers Group Corp former
Apr 16, 2003 to Jul 3, 2006 · Cumming, Ga

Moves

a registration end followed by a registration begin elsewhere

Cetera Advisors LLC to J. W. Cole Advisors, Inc.
left Nov 29, 2023, registered Nov 30, 2023 (1 days) · Affiliated broker-dealer or bank to another
Investors Capital Advisory to Cetera Advisors LLC
left Oct 3, 2016, registered Oct 3, 2016 (0 days) · channel change inside one enterprise, not a move · moved with a team
LPL Financial LLC to Investors Capital Advisory
left Dec 17, 2014, registered Dec 5, 2014 (-12 days) · Other
Qa3 Financial LLC to LPL Financial LLC
left Feb 11, 2011, registered Feb 14, 2011 (3 days) · Other
Osaic Fs, Inc. to Qa3 Financial LLC
left Jul 19, 2006, registered Jun 30, 2006 (-19 days) · Other
Independent Advisers Group Corp to Osaic Fs, Inc.
left Jul 3, 2006, registered Apr 17, 2003 (-1173 days) · Other

Signals

David Patrick Leathers left Cetera Advisors Llc for J. W. Cole Advisors, Inc. (registered 2023-11-30)
Nov 29, 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