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 Howard Dockens

U.S. Bancorp Advisors, LLCBD affiliatedBonney Lake, Wa dual registrantIAPD 2947707

Feed of 09/15/2026

Also filed as Jamie Howard Dockens

At current firm

0 y

since Feb 13, 2026

In the industry

28 y

since Nov 12, 1997 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

U.S. Bancorp Advisors, LLC BD affiliated current
since Feb 13, 2026 · Everett, Wa
U.S. Bancorp Investments, Inc. former
Sep 18, 2017 to Feb 13, 2026 · Edmonds, Wa
Fulcrum Capital, LLC independent RIA
Nov 3, 2015 to Jun 12, 2017 · Seattle, Wa
E*Trade Capital Management, LLC former
Oct 27, 2011 to Nov 30, 2015 · Seattle, Wa
Berthel Fisher & Company Financial Services, Inc. BD affiliated
Jan 7, 2010 to Oct 21, 2011 · Mukilteo, Wa
E*Trade Capital Management, LLC former
Aug 5, 2008 to Jan 8, 2010 · Arlington, Va
Sagepoint Financial, Inc. former
Oct 31, 2005 to Mar 21, 2007 · Everett, Wa
Sentra Securities Corporation unclassified
Jun 3, 2002 to Oct 31, 2005 · Everett, Wa

Moves

a registration end followed by a registration begin elsewhere

U.S. Bancorp Investments, Inc. to U.S. Bancorp Advisors, LLC
left Feb 13, 2026, registered Feb 13, 2026 (0 days) · corporate re-registration, not a move
Fulcrum Capital, LLC to U.S. Bancorp Investments, Inc.
left Jun 12, 2017, registered Sep 18, 2017 (98 days) · Other
E*Trade Capital Management, LLC to Fulcrum Capital, LLC
left Nov 30, 2015, registered Nov 3, 2015 (-27 days) · Other
Berthel Fisher & Company Financial Services, Inc. to E*Trade Capital Management, LLC
left Oct 21, 2011, registered Oct 27, 2011 (6 days) · Other
E*Trade Capital Management, LLC to Berthel Fisher & Company Financial Services, Inc.
left Jan 8, 2010, registered Jan 7, 2010 (-1 days) · Other
Sagepoint Financial, Inc. to E*Trade Capital Management, LLC
left Mar 21, 2007, registered Aug 5, 2008 (503 days) · Other
Sentra Securities Corporation to Sagepoint Financial, Inc.
left Oct 31, 2005, registered Oct 31, 2005 (0 days) · corporate re-registration, not a move

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: 28derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address