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.
Feed of 09/14/2026
Also filed as James A. White
At current firm
2 y
since Jun 14, 2024
In the industry
25 y
since Feb 15, 2001 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Osaic Wealth, Inc. BD affiliated currentsince Jun 14, 2024 · Tyler, Tx
- Securities America Advisors, Inc. formerMay 24, 2019 to Jun 14, 2024 · Tyler, Tx
- First Allied Advisory Services, Inc. formerDec 13, 2012 to May 24, 2019 · Tyler, Tx
- LPL Financial LLC BD affiliatedSep 8, 2009 to Dec 17, 2012 · Tyler, Tx
- Mutual Service Corporation unclassifiedMay 1, 2008 to Sep 8, 2009 · Tyler, Tx
- American General Securities Incorporated unclassifiedJan 7, 2004 to Apr 30, 2008 · Houston, Tx
Moves
a registration end followed by a registration begin elsewhere
- Securities America Advisors, Inc. to Osaic Wealth, Inc.left Jun 14, 2024, registered Jun 14, 2024 (0 days) · corporate re-registration, not a move
- First Allied Advisory Services, Inc. to Securities America Advisors, Inc.left May 24, 2019, registered May 24, 2019 (0 days) · Affiliated broker-dealer or bank to another
- LPL Financial LLC to First Allied Advisory Services, Inc.left Dec 17, 2012, registered Dec 13, 2012 (-4 days) · Other
- Mutual Service Corporation to LPL Financial LLCleft Sep 8, 2009, registered Sep 8, 2009 (0 days) · corporate re-registration, not a move
- American General Securities Incorporated to Mutual Service Corporationleft Apr 30, 2008, registered May 1, 2008 (1 days) · Other
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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address