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

Guy Lamar James

Cetera Investment Advisers LLCBD affiliatedYoakum, Txdual registrantIAPD 3174863

Feed of 09/14/2026

At current firm

0 y

since Jun 15, 2026

In the industry

27 y

since Jan 14, 1999 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

Cetera Investment Advisers LLC BD affiliated current
since Jun 15, 2026 · Yoakum, Tx
Ica Group Wealth Management, LLC former
Sep 7, 2022 to Sep 23, 2024 · Denver, Co
LPL Financial LLC BD affiliated
Nov 29, 2017 to Jun 24, 2026 · Yoakum, Tx
Investment Centers Of America, Inc. former
Oct 1, 2014 to Nov 29, 2017 · Moulton, Tx
Investment Professionals, Inc. former
Aug 20, 2007 to Oct 14, 2014 · Yoakum, Tx

Moves

a registration end followed by a registration begin elsewhere

LPL Financial LLC to Ica Group Wealth Management, LLC
left Jun 24, 2026, registered Sep 7, 2022 (-1386 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
Ica Group Wealth Management, LLC to Cetera Investment Advisers LLC
left Sep 23, 2024, registered Jun 15, 2026 (630 days) · RIA to affiliated broker-dealer or bank
Investment Centers Of America, Inc. to LPL Financial LLC
left Nov 29, 2017, registered Nov 29, 2017 (0 days) · corporate re-registration, not a move
Investment Professionals, Inc. to Investment Centers Of America, Inc.
left Oct 14, 2014, registered Oct 1, 2014 (-13 days) · Other

Signals

Guy Lamar James left Lpl Financial Llc for Ica Group Wealth Management, Llc (registered 2022-09-07)
Jun 24, 2026 · Advisor changed firm · fact
Guy Lamar James left Ica Group Wealth Management, Llc for Cetera Investment Advisers Llc (registered 2026-06-15)
Sep 23, 2024 · 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: 27derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address