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
Clayton Wellington James
Feed of 09/14/2026
At current firm
17 y
since Feb 20, 2009
In the industry
23 y
since Nov 8, 2002 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
2
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
- Prospera Financial Services, Inc. BD affiliated currentsince Feb 20, 2009 · Williamsburg, Va
- Micg Investment Management, LLC unclassifiedDec 16, 2005 to Feb 20, 2009 · Williamsburg, Va
- Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseApr 23, 2004 to Dec 20, 2005 · Newport News, Va
- A. G. Edwards & Sons, Inc. unclassifiedNov 11, 2002 to Apr 29, 2004 · Gloucester, Va
Moves
a registration end followed by a registration begin elsewhere
- Micg Investment Management, LLC to Prospera Financial Services, Inc.left Feb 20, 2009, registered Feb 20, 2009 (0 days) · Other
- Merrill Lynch, Pierce, Fenner & Smith Incorporated to Micg Investment Management, LLCleft Dec 20, 2005, registered Dec 16, 2005 (-4 days) · Other
- A. G. Edwards & Sons, Inc. to Merrill Lynch, Pierce, Fenner & Smith Incorporatedleft Apr 29, 2004, registered Apr 23, 2004 (-6 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
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address