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 L Barnard
Feed of 09/14/2026
Also filed as Jimmy Barnard
At current firm
5 y
since Oct 21, 2020
In the industry
26 y
since Mar 4, 2000 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66, 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
- Hightower Advisors, LLC BD affiliated currentsince Oct 21, 2020 · Austin, Tx
- MML Investors Services, LLC BD affiliatedMar 25, 2017 to Oct 19, 2020 · Austin, Tx
- Msi Financial Services, Inc. formerJan 2, 2015 to Mar 25, 2017 · Austin, Tx
- New England Securities Corporation formerAug 5, 2005 to Jan 2, 2015 · Austin, Tx
Moves
a registration end followed by a registration begin elsewhere
- MML Investors Services, LLC to Hightower Advisors, LLCleft Oct 19, 2020, registered Oct 21, 2020 (2 days) · Affiliated broker-dealer or bank to another · moved with a team
- Msi Financial Services, Inc. to MML Investors Services, LLCleft Mar 25, 2017, registered Mar 25, 2017 (0 days) · corporate re-registration, not a move
- New England Securities Corporation to Msi Financial Services, Inc.left Jan 2, 2015, registered Jan 2, 2015 (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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address