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 A Frangenberg

Founders Financial Securities, LLCindependent RIAPotomac, Mddual registrantIAPD 4667287

Certified Financial Planner

Feed of 09/14/2026

Also filed as James A Frangenberg

At current firm

0 y

since Oct 27, 2025

In the industry

23 y

since Aug 27, 2003 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

Founders Financial Securities, LLC independent RIA current
since Oct 27, 2025 · Potomac, Md
Wells Fargo Advisors wirehouse
Sep 20, 2023 to Oct 29, 2025 · Tarpon Springs, Fl
LPL Financial LLC BD affiliated
Jun 5, 2023 to Aug 18, 2023 · San Diego, Ca
M&T Securities, Inc. unclassified
Oct 1, 2018 to Jun 9, 2021 · Leesburg, Va
Pnc Wealth Management BD affiliated
Jun 22, 2016 to Sep 7, 2018 · Washington, Dc
Morgan Stanley wirehouse
Mar 9, 2011 to Apr 13, 2016 · Washington, Dc
Wells Fargo Advisors wirehouse
May 26, 2009 to Feb 22, 2011 · Richmond, Va
Banc Of America Investment Services, Inc. unclassified
Nov 29, 2006 to Mar 5, 2009 · Virginia Beach, Va

Moves

a registration end followed by a registration begin elsewhere

Wells Fargo Advisors to Founders Financial Securities, LLC
left Oct 29, 2025, registered Oct 27, 2025 (-2 days) · Wirehouse to independent RIA
LPL Financial LLC to Wells Fargo Advisors
left Aug 18, 2023, registered Sep 20, 2023 (33 days) · Affiliated broker-dealer or bank to wirehouse
M&T Securities, Inc. to LPL Financial LLC
left Jun 9, 2021, registered Jun 5, 2023 (726 days) · corporate re-registration, not a move
Pnc Wealth Management to M&T Securities, Inc.
left Sep 7, 2018, registered Oct 1, 2018 (24 days) · Other
Morgan Stanley to Pnc Wealth Management
left Apr 13, 2016, registered Jun 22, 2016 (70 days) · Other
Wells Fargo Advisors to Morgan Stanley
left Feb 22, 2011, registered Mar 9, 2011 (15 days) · Wirehouse to wirehouse
Banc Of America Investment Services, Inc. to Wells Fargo Advisors
left Mar 5, 2009, registered May 26, 2009 (82 days) · Other

Signals

James A Frangenberg left Wells Fargo Advisors for Founders Financial Securities, Llc (registered 2025-10-27)
Oct 29, 2025 · Advisor changed firm · fact
James A Frangenberg left Lpl Financial Llc for Wells Fargo Advisors (registered 2023-09-20)
Aug 18, 2023 · Advisor changed firm · 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: Independent wealth managerderived
Years in industry: 23derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address