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 Phillip Quinlan
Certified Financial Planner · Chartered Financial Consultant · Personal Financial Specialist
Feed of 09/15/2026
At current firm
4 y
since Sep 12, 2022
In the industry
34 y
since Aug 13, 1992 (earliest exam, job or registration)
Prior registered firms
7
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- Private Advisor Group, LLC BD affiliated currentsince Sep 12, 2022 · Rosemont, Pa
- Valmark Advisers, Inc. BD affiliatedMay 26, 2017 to Jun 22, 2018 · Media, Pa
- Wipfli Financial Advisors, LLC formerMay 16, 2017 to Aug 30, 2022 · Media, Pa
- Cliftonlarsonallen Wealth Advisors, LLC BD affiliatedAug 22, 2016 to May 15, 2017 · King Of Prussia, Pa
- Sii Investments, Inc. formerJun 17, 2011 to Sep 21, 2016 · Appleton, Wi
- Invest Financial Corporation formerJul 12, 2007 to Jun 17, 2011 · Philadelphia, Pa
- Cetera Advisors LLC formerNov 30, 2006 to Jul 26, 2007 · Devon, Pa
- Smart Financial Advisors, LLC unclassifiedMar 23, 2000 to Dec 31, 2007 · Devon, Pa
Moves
a registration end followed by a registration begin elsewhere
- Wipfli Financial Advisors, LLC to Valmark Advisers, Inc.left Aug 30, 2022, registered May 26, 2017 (-1922 days) · Other
- Valmark Advisers, Inc. to Private Advisor Group, LLCleft Jun 22, 2018, registered Sep 12, 2022 (1543 days) · RIA to affiliated broker-dealer or bank
- Cliftonlarsonallen Wealth Advisors, LLC to Wipfli Financial Advisors, LLCleft May 15, 2017, registered May 16, 2017 (1 days) · Other
- Sii Investments, Inc. to Cliftonlarsonallen Wealth Advisors, LLCleft Sep 21, 2016, registered Aug 22, 2016 (-30 days) · Other
- Invest Financial Corporation to Sii Investments, Inc.left Jun 17, 2011, registered Jun 17, 2011 (0 days) · channel change inside one enterprise, not a move
- Smart Financial Advisors, LLC to Cetera Advisors LLCleft Dec 31, 2007, registered Nov 30, 2006 (-396 days) · Other
- Cetera Advisors LLC to Invest Financial Corporationleft Jul 26, 2007, registered Jul 12, 2007 (-14 days) · Other
Signals
- James Phillip Quinlan left Wipfli Financial Advisors, Llc for Valmark Advisers, Inc. (registered 2017-05-26)Aug 30, 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
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address