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 Mark Ostrowski
Feed of 09/15/2026
Also filed as Jim Ostrowski
At current firm
13 y
since Nov 26, 2012
In the industry
25 y
since Jul 20, 2001 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
2
current registrations
Exams
S63, S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Wells Fargo Advisors wirehouse currentsince Apr 6, 2026 · Los Angeles, Ca
- Wells Fargo Advisors wirehouse currentsince Nov 26, 2012 · Los Angeles, Ca
- Morgan Stanley wirehouseJun 1, 2009 to Nov 20, 2012 · Los Angeles, Ca
- Citigroup Global Markets Inc. BD affiliatedAug 26, 2008 to Jun 1, 2009 · Los Angeles, Ca
- UBS Financial Services Inc. wirehouseAug 12, 2006 to Aug 14, 2008 · San Francisco, Ca
- Piper Sandler & Co. institutionalJul 7, 2005 to Aug 12, 2006 · San Francisco, Ca
- Wells Fargo Investments, LLC unclassifiedMar 7, 2005 to Jul 5, 2005 · San Francisco, Ca
Moves
a registration end followed by a registration begin elsewhere
- Morgan Stanley to Wells Fargo Advisorsleft Nov 20, 2012, registered Nov 26, 2012 (6 days) · Wirehouse to wirehouse
- Citigroup Global Markets Inc. to Morgan Stanleyleft Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- UBS Financial Services Inc. to Citigroup Global Markets Inc.left Aug 14, 2008, registered Aug 26, 2008 (12 days) · Other
- Piper Sandler & Co. to UBS Financial Services Inc.left Aug 12, 2006, registered Aug 12, 2006 (0 days) · corporate re-registration, not a move
- Wells Fargo Investments, LLC to Piper Sandler & Co.left Jul 5, 2005, registered Jul 7, 2005 (2 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
- Wirehousederived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address