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 George Walls

RBC Securities, Inc.BD affiliatedLos Angeles, CaIA-onlyIAPD 2871465

Feed of 09/14/2026

Also filed as James George Walls

At current firm

1 y

since Mar 28, 2025

In the industry

19 y

since Nov 3, 2006 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

RBC Securities, Inc. BD affiliated current
since Mar 28, 2025 · Los Angeles, Ca
Ascensus Investment Advisors, LLC institutional
May 18, 2021 to Apr 6, 2023 · Needham, Ma
Bb&T Institutional Investment Advisers, Inc. former
Oct 1, 2015 to Dec 31, 2020 · Baltimore, Md
Osaic Fa, Inc. former
Nov 24, 2008 to Sep 8, 2015 · Baltimore, Md
M&T Securities, Inc. unclassified
Jul 7, 2008 to Oct 24, 2008 · Baltimore, Md
Wilmington Trust Investment Advisors, Inc. other
Jun 5, 2008 to Nov 10, 2008 · Baltimore, Md

Moves

a registration end followed by a registration begin elsewhere

Ascensus Investment Advisors, LLC to RBC Securities, Inc.
left Apr 6, 2023, registered Mar 28, 2025 (722 days) · Other
Bb&T Institutional Investment Advisers, Inc. to Ascensus Investment Advisors, LLC
left Dec 31, 2020, registered May 18, 2021 (138 days) · Other · moved with a team
Osaic Fa, Inc. to Bb&T Institutional Investment Advisers, Inc.
left Sep 8, 2015, registered Oct 1, 2015 (23 days) · Other
Wilmington Trust Investment Advisors, Inc. to M&T Securities, Inc.
left Nov 10, 2008, registered Jul 7, 2008 (-126 days) · Other
M&T Securities, Inc. to Osaic Fa, Inc.
left Oct 24, 2008, registered Nov 24, 2008 (31 days) · Other

Signals

James George Walls left Ascensus Investment Advisors, Llc for Rbc Securities, Inc. (registered 2025-03-28)
Apr 6, 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: 19derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address