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 Thomas Buto

LPL Financial LLCBD affiliatedErie, Padual registrantIAPD 2864199

Feed of 09/14/2026

At current firm

2 y

since Oct 30, 2023

In the industry

29 y

since Apr 18, 1997 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

LPL Financial LLC BD affiliated current
since Oct 30, 2023 · Erie, Pa
Cambridge Investment Research Advisors, Inc. BD affiliated
Mar 5, 2013 to Nov 3, 2023 · Erie, Pa
Commonwealth Financial Network national BD
Jul 21, 2010 to Mar 6, 2013 · Erie, Pa
Obs Financial former
Oct 16, 2008 to Jan 12, 2009 · Concord, Ca
Uvest Financial Services Group, Inc. unclassified
Jun 27, 2002 to Oct 14, 2008 · Erie, Pa

Moves

a registration end followed by a registration begin elsewhere

Cambridge Investment Research Advisors, Inc. to LPL Financial LLC
left Nov 3, 2023, registered Oct 30, 2023 (-4 days) · Affiliated broker-dealer or bank to another · moved with a team
Commonwealth Financial Network to Cambridge Investment Research Advisors, Inc.
left Mar 6, 2013, registered Mar 5, 2013 (-1 days) · Other
Obs Financial to Commonwealth Financial Network
left Jan 12, 2009, registered Jul 21, 2010 (555 days) · Other
Uvest Financial Services Group, Inc. to Obs Financial
left Oct 14, 2008, registered Oct 16, 2008 (2 days) · Other

Signals

James Thomas Buto left Cambridge Investment Research Advisors, Inc. for Lpl Financial Llc (registered 2023-10-30)
Nov 3, 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: 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