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 Patrick Harkins

Robert W. Baird & Co. Incorporatedmixed wealthSeattle, Wadual registrantIAPD 4570655

Feed of 09/15/2026

At current firm

11 y

since Nov 7, 2014

In the industry

24 y

since Sep 6, 2002 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

Robert W. Baird & Co. Incorporated mixed wealth current
since Nov 7, 2014 · Seattle, Wa
Mcadams Wright Ragen, Inc. former
Feb 17, 2012 to Nov 7, 2014 · Seattle, Wa
Morgan Stanley wirehouse
Jun 1, 2009 to Feb 27, 2012 · Seattle, Wa
Citigroup Global Markets Inc. BD affiliated
Oct 9, 2002 to Jun 1, 2009 · Seattle, Wa

Moves

a registration end followed by a registration begin elsewhere

Mcadams Wright Ragen, Inc. to Robert W. Baird & Co. Incorporated
left Nov 7, 2014, registered Nov 7, 2014 (0 days) · corporate re-registration, not a move
Morgan Stanley to Mcadams Wright Ragen, Inc.
left Feb 27, 2012, registered Feb 17, 2012 (-10 days) · Other
Citigroup Global Markets Inc. to Morgan Stanley
left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move

Signals

James Patrick Harkins added a FL registration at Robert W. Baird & Co. Incorporated
Sep 14, 2026 · New state registration · fact

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: Wealth manager with institutional or fund businessderived
Years in industry: 24derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address