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 Peter Barbara
Feed of 09/14/2026
Also filed as James P Barbara
At current firm
0 y
since Aug 6, 2026
In the industry
31 y
since Nov 8, 1994 (earliest exam, job or registration)
Prior registered firms
10
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
2
dated events on this person
Registration history
IAPD current and previous registrations
- J.P. Morgan Securities LLC wirehouse currentsince Aug 6, 2026 · El Segundo, Ca
- Jefferies Investment Advisers LLC mixed wealthMay 24, 2023 to Aug 12, 2026 · New York, Ny
- Leucadia Asset Management LLC asset managerMay 10, 2023 to Aug 14, 2023 · New York, Ny
- RBC Securities, Inc. BD affiliatedOct 29, 2014 to May 23, 2023 · Los Angeles, Ca
- Wells Fargo Advisors wirehouseJan 3, 2011 to Oct 17, 2014 · Charlotte, Nc
- Wells Fargo Investments, LLC unclassifiedAug 20, 2009 to Jan 3, 2011 · El Segundo, Ca
- Citigroup Global Markets Inc. BD affiliatedMay 29, 2007 to Aug 31, 2009 · Los Angeles, Ca
- Citicorp Investment Services unclassifiedDec 5, 2006 to May 29, 2007 · Los Angeles, Ca
- Citicorp Investment Services unclassifiedMay 9, 2006 to Aug 17, 2006 · Los Angeles, Ca
- Citigroup Global Markets Inc. BD affiliatedNov 4, 2005 to Aug 14, 2006 · Los Angeles, Ca
- Citicorp Investment Services unclassifiedApr 19, 2002 to Dec 2, 2005 · Los Angeles, Ca
Moves
a registration end followed by a registration begin elsewhere
- Jefferies Investment Advisers LLC to J.P. Morgan Securities LLCleft Aug 12, 2026, registered Aug 6, 2026 (-6 days) · RIA to wirehouse
- Leucadia Asset Management LLC to Jefferies Investment Advisers LLCleft Aug 14, 2023, registered May 24, 2023 (-82 days) · corporate re-registration, not a move
- RBC Securities, Inc. to Leucadia Asset Management LLCleft May 23, 2023, registered May 10, 2023 (-13 days) · RIA to RIA
- Wells Fargo Advisors to RBC Securities, Inc.left Oct 17, 2014, registered Oct 29, 2014 (12 days) · Other
- Wells Fargo Investments, LLC to Wells Fargo Advisorsleft Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move
- Citigroup Global Markets Inc. to Wells Fargo Investments, LLCleft Aug 31, 2009, registered Aug 20, 2009 (-11 days) · Other
- Citicorp Investment Services to Citigroup Global Markets Inc.left May 29, 2007, registered May 29, 2007 (0 days) · corporate re-registration, not a move
- Citigroup Global Markets Inc. to Citicorp Investment Servicesleft Aug 14, 2006, registered May 9, 2006 (-97 days) · Other
- Citicorp Investment Services to Citigroup Global Markets Inc.left Dec 2, 2005, registered Nov 4, 2005 (-28 days) · Other
Signals
- James Peter Barbara left Jefferies Investment Advisers Llc for J.P. Morgan Securities Llc (registered 2026-08-06)Aug 12, 2026 · Advisor changed firm · fact
- James Peter Barbara left Rbc Securities, Inc. for Leucadia Asset Management Llc (registered 2023-05-10)May 23, 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
- Wirehousederived
- Years in industry
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address