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 D'Alessio
Feed of 09/14/2026
Also filed as James John Dalessio
At current firm
15 y
since Dec 8, 2010
In the industry
31 y
since Jul 3, 1995 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse currentsince Dec 8, 2010 · San Diego, Ca
- Zions Capital Advisors, Inc. institutionalJul 15, 2008 to Oct 18, 2010 · San Diego, Ca
- Cetera Advisor Networks LLC formerMar 20, 2008 to Jun 2, 2008 · San Diego, Ca
- Banc Of America Investment Services, Inc. unclassifiedFeb 24, 2003 to Mar 5, 2008 · San Diego, Ca
- Cuso Financial Services, L.P. formerDec 6, 2001 to Feb 24, 2003 · San Diego, Ca
Moves
a registration end followed by a registration begin elsewhere
- Zions Capital Advisors, Inc. to Merrill Lynch, Pierce, Fenner & Smith Incorporatedleft Oct 18, 2010, registered Dec 8, 2010 (51 days) · Other
- Cetera Advisor Networks LLC to Zions Capital Advisors, Inc.left Jun 2, 2008, registered Jul 15, 2008 (43 days) · Other
- Banc Of America Investment Services, Inc. to Cetera Advisor Networks LLCleft Mar 5, 2008, registered Mar 20, 2008 (15 days) · Other
- Cuso Financial Services, L.P. to Banc Of America Investment Services, Inc.left Feb 24, 2003, registered Feb 24, 2003 (0 days) · Other
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
- Wirehousederived
- Years in industry
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address