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 Alexander Waters
Feed of 09/14/2026
Also filed as James Alexander Waters
At current firm
6 y
since May 1, 2020
In the industry
32 y
since May 12, 1994 (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
0
dated events on this person
Registration history
IAPD current and previous registrations
- Csenge Advisory Group, LLC independent RIA currentsince May 1, 2020 · Clearwater, Fl
- Fsc Securities Corporation formerOct 27, 2017 to Apr 30, 2020 · Birmingham, Al
- Ameriprise Financial Services, LLC national BDJan 8, 2010 to Nov 13, 2017 · Birmingham, Al
- Wells Fargo Advisors wirehouseJul 1, 2003 to Jan 11, 2010 · Birmingham, Al
- Prudential Equity Group, LLC unclassifiedJun 27, 2001 to Jul 1, 2003 · Birmingham, Al
Moves
a registration end followed by a registration begin elsewhere
- Fsc Securities Corporation to Csenge Advisory Group, LLCleft Apr 30, 2020, registered May 1, 2020 (1 days) · Affiliated broker-dealer or bank to independent RIA
- Ameriprise Financial Services, LLC to Fsc Securities Corporationleft Nov 13, 2017, registered Oct 27, 2017 (-17 days) · Affiliated broker-dealer or bank to another
- Wells Fargo Advisors to Ameriprise Financial Services, LLCleft Jan 11, 2010, registered Jan 8, 2010 (-3 days) · Wirehouse to affiliated broker-dealer or bank
- Prudential Equity Group, LLC to Wells Fargo Advisorsleft Jul 1, 2003, registered Jul 1, 2003 (0 days) · corporate re-registration, not a move
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
- Independent wealth managerderived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address