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
Ian E James
Feed of 09/15/2026
Also filed as Ian Eugene James
At current firm
6 y
since Jun 10, 2020
In the industry
30 y
since Feb 3, 1996 (earliest exam, job or registration)
Prior registered firms
8
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- Global Assets Advisory, LLC independent RIA currentsince Jun 10, 2020 · Bridge City, Tx
- International Assets Investment Management, LLC BD affiliatedAug 24, 2023 to Dec 22, 2025 · Orlando, Fl
- Global Planning Stewards LLC state registeredMay 13, 2020 to May 20, 2020 · Baton Rouge, La
- Investacorp Advisory Services Inc formerAug 18, 2014 to May 12, 2020 · Baton Rouge, La
- Summit Financial Group Inc formerOct 4, 2011 to Jul 22, 2014 · Baton Rouge, La
- Raymond James Financial Services Advisors, Inc BD affiliatedJan 28, 2011 to Sep 22, 2011 · Baton Rouge, La
- Wells Fargo Advisors wirehouseMar 7, 2008 to Jan 18, 2011 · Baton Rouge, La
- LPL Financial LLC BD affiliatedApr 2, 2007 to Mar 11, 2008 · Baton Rouge, La
- Edward Jones national BDJan 12, 2007 to Jan 12, 2007 · Greenwell Springs, La
Moves
a registration end followed by a registration begin elsewhere
- International Assets Investment Management, LLC to no registered destinationleft Dec 22, 2025 · Departure, no registered destination
- Global Planning Stewards LLC to Global Assets Advisory, LLCleft May 20, 2020, registered Jun 10, 2020 (21 days) · Other
- Investacorp Advisory Services Inc to Global Planning Stewards LLCleft May 12, 2020, registered May 13, 2020 (1 days) · Affiliated broker-dealer or bank to a state-registered adviser
- Summit Financial Group Inc to Investacorp Advisory Services Incleft Jul 22, 2014, registered Aug 18, 2014 (27 days) · Other
- Raymond James Financial Services Advisors, Inc to Summit Financial Group Incleft Sep 22, 2011, registered Oct 4, 2011 (12 days) · Other
- Wells Fargo Advisors to Raymond James Financial Services Advisors, Incleft Jan 18, 2011, registered Jan 28, 2011 (10 days) · Other
- LPL Financial LLC to Wells Fargo Advisorsleft Mar 11, 2008, registered Mar 7, 2008 (-4 days) · Other
- Edward Jones to LPL Financial LLCleft Jan 12, 2007, registered Apr 2, 2007 (80 days) · Other
Signals
- Ian E James no longer registered at International Assets Investment Management, Llc; no later IA registration on IAPDDec 22, 2025 · Advisor departure · 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
- Independent wealth managerderived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address