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 Parker
Feed of 09/14/2026
Also filed as James Parker
At current firm
2 y
since Mar 21, 2024
In the industry
30 y
since Apr 19, 1996 (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
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
- Cetera Investment Advisers LLC BD affiliated currentsince Mar 21, 2024 · Oxnard, Ca
- Sorrento Pacific Financial, LLC formerAug 23, 2012 to Aug 1, 2013 · Oxnard, Ca
- Partnervest Advisory Services LLC formerMay 31, 2007 to Jul 16, 2012 · Oxnard, Ca
- Citicorp Investment Services unclassifiedJun 27, 2006 to Apr 10, 2007 · Camarillo, Ca
- UBS Financial Services Inc. wirehouseMay 22, 2001 to Aug 1, 2006 · Oxnard, Ca
Moves
a registration end followed by a registration begin elsewhere
- Sorrento Pacific Financial, LLC to Cetera Investment Advisers LLCleft Aug 1, 2013, registered Mar 21, 2024 (3885 days) · Other
- Partnervest Advisory Services LLC to Sorrento Pacific Financial, LLCleft Jul 16, 2012, registered Aug 23, 2012 (38 days) · Other
- Citicorp Investment Services to Partnervest Advisory Services LLCleft Apr 10, 2007, registered May 31, 2007 (51 days) · Other
- UBS Financial Services Inc. to Citicorp Investment Servicesleft Aug 1, 2006, registered Jun 27, 2006 (-35 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address