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 Patrick Karthaus
Raymond James Financial Services Advisors, IncBD affiliatedConshohocken, Padual registrantIAPD 2974094
Certified Financial Planner
Feed of 09/14/2026
At current firm
3 y
since May 26, 2023
In the industry
28 y
since Jan 20, 1998 (earliest exam, job or registration)
Prior registered firms
6
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- Raymond James Financial Services Advisors, Inc BD affiliated currentsince May 26, 2023 · Conshohocken, Pa
- Great Valley Advisor Group, LLC independent RIASep 6, 2017 to Jun 6, 2023 · Doylestown, Pa
- Tlg Advisors, Inc. BD affiliatedSep 1, 2016 to Aug 31, 2017 · Doylestown, Pa
- Tlg Advisors, Inc. BD affiliatedJun 5, 2013 to Apr 20, 2016 · Doylestown, Pa
- Voya Financial Advisors, Inc. BD affiliatedMay 7, 2012 to Dec 5, 2012 · Doylestown, Pa
- Tlg Advisors, Inc. BD affiliatedMar 31, 2009 to Oct 26, 2010 · Woodland Hills, Ca
- Woodbury Financial Services, Inc. formerJun 29, 2005 to Feb 13, 2009 · King Of Prussia, Pa
Moves
a registration end followed by a registration begin elsewhere
- Great Valley Advisor Group, LLC to Raymond James Financial Services Advisors, Incleft Jun 6, 2023, registered May 26, 2023 (-11 days) · RIA to affiliated broker-dealer or bank
- Tlg Advisors, Inc. to Great Valley Advisor Group, LLCleft Aug 31, 2017, registered Sep 6, 2017 (6 days) · Other · moved with a team
- Voya Financial Advisors, Inc. to Tlg Advisors, Inc.left Dec 5, 2012, registered Jun 5, 2013 (182 days) · Other
- Tlg Advisors, Inc. to Voya Financial Advisors, Inc.left Oct 26, 2010, registered May 7, 2012 (559 days) · Other
- Woodbury Financial Services, Inc. to Tlg Advisors, Inc.left Feb 13, 2009, registered Mar 31, 2009 (46 days) · Other
Signals
- James Patrick Karthaus left Great Valley Advisor Group, Llc for Raymond James Financial Services Advisors, Inc (registered 2023-05-26)Jun 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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address