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 Charles Aughenbaugh
Feed of 09/14/2026
At current firm
0 y
since Dec 15, 2025
In the industry
31 y
since Feb 1, 1995 (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
S63, S66
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- Rockefeller Capital Management BD affiliated currentsince Dec 15, 2025 · Dallas, Tx
- Stephens BD affiliatedJun 10, 2013 to Dec 22, 2025 · Dallas, Tx
- Morgan Stanley wirehouseJun 1, 2009 to Jun 28, 2013 · Southlake, Tx
- Citigroup Global Markets Inc. BD affiliatedFeb 29, 2008 to Jun 1, 2009 · Southlake, Tx
- Raymond James & Associates, Inc. national BDJun 19, 2001 to Mar 4, 2008 · Dallas, Tx
Moves
a registration end followed by a registration begin elsewhere
- Stephens to Rockefeller Capital Managementleft Dec 22, 2025, registered Dec 15, 2025 (-7 days) · Affiliated broker-dealer or bank to another · moved with a team
- Morgan Stanley to Stephensleft Jun 28, 2013, registered Jun 10, 2013 (-18 days) · Other
- Citigroup Global Markets Inc. to Morgan Stanleyleft Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- Raymond James & Associates, Inc. to Citigroup Global Markets Inc.left Mar 4, 2008, registered Feb 29, 2008 (-4 days) · Other
Signals
- James Charles Aughenbaugh left Stephens for Rockefeller Capital Management (registered 2025-12-15)Dec 22, 2025 · 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
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address