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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Registered advisor

J•••• G•••••

C•••••• S••••• • C••• I•••national BDDawsonville, Gadual registrantIAPD 4245111

Feed of 09/14/2026

Also filed as James Allan Graves

At current firm

5 y

since Aug 13, 2021

In the industry

25 y

since Feb 13, 2001 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

C•••••• S••••• • C••• I••• national BD current
since Aug 13, 2021 · Dawsonville, Ga
P•••••••• A••••••• national BD
Dec 6, 2019 to May 4, 2020 · Duluth, Ga
S••••• A••••••• I••• BD affiliated
Mar 20, 2019 to Mar 28, 2019 · Birmingham, Al
T• A••••••••• I••• former
Feb 28, 2018 to Mar 7, 2018 · Omaha, Ne
T• A••••••••• I••••••••• M••••••••• L•• former
Feb 26, 2018 to Mar 7, 2018 · Omaha, Ne
S•••••••• I••••••••• M••••••••• former
Sep 15, 2017 to Feb 26, 2018 · Saint Louis, Mo

Moves

a registration end followed by a registration begin elsewhere

P•••••••• A••••••• to C•••••• S••••• • C••• I•••
left May 4, 2020, registered Aug 13, 2021 (466 days) · Affiliated broker-dealer or bank to another
S••••• A••••••• I••• to P•••••••• A•••••••
left Mar 28, 2019, registered Dec 6, 2019 (253 days) · Affiliated broker-dealer or bank to another
T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••
left Mar 7, 2018, registered Feb 28, 2018 (-7 days) · channel change inside one enterprise, not a move · moved with a team
T• A••••••••• I••• to S••••• A••••••• I•••
left Mar 7, 2018, registered Mar 20, 2019 (378 days) · Other
S•••••••• I••••••••• M••••••••• to T• A••••••••• I••••••••• M••••••••• L••
left Feb 26, 2018, registered Feb 26, 2018 (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: National broker-dealer RIAderived
Years in industry: 25derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address