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 Edward Graves
Feed of 09/15/2026
Also filed as Jim Graves
At current firm
0 y
since May 29, 2026
In the industry
29 y
since Sep 27, 1996 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S65, 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
- Rockefeller Capital Management BD affiliated currentsince May 29, 2026 · Ny, Ny
- Morgan Stanley wirehouseFeb 22, 2019 to Jun 2, 2026 · New York, Ny
- Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseMay 14, 2002 to Feb 25, 2019 · New York, Ny
- Citigroup Global Markets Inc. BD affiliatedNov 19, 2001 to May 15, 2002 · Beverly Hills, Ca
Moves
a registration end followed by a registration begin elsewhere
- Morgan Stanley to Rockefeller Capital Managementleft Jun 2, 2026, registered May 29, 2026 (-4 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- Merrill Lynch, Pierce, Fenner & Smith Incorporated to Morgan Stanleyleft Feb 25, 2019, registered Feb 22, 2019 (-3 days) · Wirehouse to wirehouse · moved with a team
- Citigroup Global Markets Inc. to Merrill Lynch, Pierce, Fenner & Smith Incorporatedleft May 15, 2002, registered May 14, 2002 (-1 days) · Other
Signals
- James Edward Graves left Morgan Stanley for Rockefeller Capital Management (registered 2026-05-29)Jun 2, 2026 · 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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address