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 Peter Bertram
Feed of 09/14/2026
At current firm
3 y
since Mar 21, 2023
In the industry
22 y
since Mar 4, 2004 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66, S65
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- Baynes Investment Counsel LLC state registered currentsince Mar 21, 2023 · Franklin, Tn
- Cnl Educational Institute, LLC no RAUMMar 16, 2020 to Jan 11, 2023 · Franklin, Tn
- Nuveen Asset Management, LLC mixed wealthSep 1, 2011 to Jan 21, 2020 · Chicago, Il
- Nuveen Fund Advisors, LLC asset managerOct 24, 2006 to Sep 1, 2011 · Chicago, Il
- Ameriprise Financial Services, LLC national BDMar 5, 2004 to Jul 11, 2006 · Chicago, Il
Moves
a registration end followed by a registration begin elsewhere
- Cnl Educational Institute, LLC to Baynes Investment Counsel LLCleft Jan 11, 2023, registered Mar 21, 2023 (69 days) · Other
- Nuveen Asset Management, LLC to Cnl Educational Institute, LLCleft Jan 21, 2020, registered Mar 16, 2020 (55 days) · Other
- Nuveen Fund Advisors, LLC to Nuveen Asset Management, LLCleft Sep 1, 2011, registered Sep 1, 2011 (0 days) · corporate re-registration, not a move
- Ameriprise Financial Services, LLC to Nuveen Fund Advisors, LLCleft Jul 11, 2006, registered Oct 24, 2006 (105 days) · Other
Signals
- James Peter Bertram left Cnl Educational Institute, Llc for Baynes Investment Counsel Llc (registered 2023-03-21)Jan 11, 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
- STATE REGISTEREDderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address