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 Appleby
Certified Financial Planner
Feed of 09/14/2026
At current firm
5 y
since Feb 17, 2021
In the industry
22 y
since Jun 15, 2004 (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
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
- Truist Advisory Services, Inc. BD affiliated currentsince Feb 17, 2021 · Cary, Nc
- Bb&T Securities, LLC formerJan 2, 2018 to Feb 17, 2021 · Charlotte, Nc
- Bb&T Investment Services, Inc. formerJan 21, 2010 to Jan 2, 2018 · Cary, Nc
- First Citizens Investor Services, Inc. BD affiliatedMay 22, 2007 to Jan 19, 2010 · Durham, Nc
- Morgan Stanley Dw Inc. unclassifiedMay 4, 2006 to Nov 15, 2006 · Raleigh, Nc
- Capital Investment Counsel Inc independent RIAAug 18, 2004 to Sep 30, 2005 · Raleigh, Nc
Moves
a registration end followed by a registration begin elsewhere
- Bb&T Securities, LLC to Truist Advisory Services, Inc.left Feb 17, 2021, registered Feb 17, 2021 (0 days) · corporate re-registration, not a move
- Bb&T Investment Services, Inc. to Bb&T Securities, LLCleft Jan 2, 2018, registered Jan 2, 2018 (0 days) · corporate re-registration, not a move
- First Citizens Investor Services, Inc. to Bb&T Investment Services, Inc.left Jan 19, 2010, registered Jan 21, 2010 (2 days) · Other
- Morgan Stanley Dw Inc. to First Citizens Investor Services, Inc.left Nov 15, 2006, registered May 22, 2007 (188 days) · Other
- Capital Investment Counsel Inc to Morgan Stanley Dw Inc.left Sep 30, 2005, registered May 4, 2006 (216 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
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address