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 Toye
Feed of 09/15/2026
Also filed as James Edward Toye
At current firm
4 y
since Jan 31, 2022
In the industry
23 y
since Dec 19, 2002 (earliest exam, job or registration)
Prior registered firms
9
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
- Charles Schwab & Co., Inc. national BD currentsince Jan 31, 2022 · Pinehurst, Nc
- Td Ameritrade Investment Management, LLC formerDec 12, 2017 to May 6, 2022 · Altamonte Springs, Fl
- Td Ameritrade, Inc. formerNov 30, 2017 to May 6, 2022 · Winter Park, Fl
- Scottrade Investment Management formerMar 29, 2017 to Dec 12, 2017 · Melbourne, Fl
- LPL Financial LLC BD affiliatedDec 16, 2015 to Jul 26, 2016 · Port St. John, Fl
- Financial Engines Advisor Center, LLC formerSep 2, 2015 to Jan 14, 2016 · Atlanta, Ga
- The Mutual Fund Research Center, Research Center formerDec 15, 2014 to Jan 4, 2016 · Atlanta, Ga
- Td Ameritrade Investment Management, LLC formerAug 30, 2006 to Dec 22, 2014 · Manchester, Nh
- Td Ameritrade, Inc. formerAug 30, 2006 to Dec 22, 2014 · Bedford, Nh
- Ameriprise Financial Services, LLC national BDJan 2, 2003 to Sep 28, 2006 · Bedford, Nh
Moves
a registration end followed by a registration begin elsewhere
- Td Ameritrade Investment Management, LLC to Charles Schwab & Co., Inc.left May 6, 2022, registered Jan 31, 2022 (-95 days) · channel change inside one enterprise, not a move
- Td Ameritrade, Inc. to Td Ameritrade Investment Management, LLCleft May 6, 2022, registered Dec 12, 2017 (-1606 days) · channel change inside one enterprise, not a move
- Scottrade Investment Management to Td Ameritrade, Inc.left Dec 12, 2017, registered Nov 30, 2017 (-12 days) · channel change inside one enterprise, not a move
- LPL Financial LLC to Scottrade Investment Managementleft Jul 26, 2016, registered Mar 29, 2017 (246 days) · Other
- Financial Engines Advisor Center, LLC to LPL Financial LLCleft Jan 14, 2016, registered Dec 16, 2015 (-29 days) · Other
- The Mutual Fund Research Center, Research Center to Financial Engines Advisor Center, LLCleft Jan 4, 2016, registered Sep 2, 2015 (-124 days) · channel change inside one enterprise, not a move
- Td Ameritrade Investment Management, LLC to Td Ameritrade, Inc.left Dec 22, 2014, registered Aug 30, 2006 (-3036 days) · channel change inside one enterprise, not a move
- Td Ameritrade, Inc. to The Mutual Fund Research Center, Research Centerleft Dec 22, 2014, registered Dec 15, 2014 (-7 days) · Other
- Ameriprise Financial Services, LLC to Td Ameritrade Investment Management, LLCleft Sep 28, 2006, registered Aug 30, 2006 (-29 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
- National broker-dealer RIAderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address