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 Scott Cave
Feed of 09/15/2026
At current firm
9 y
since Aug 29, 2017
In the industry
22 y
since May 25, 2004 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- The Wealth Consulting Group independent RIA currentsince Aug 29, 2017 · Sacramento, Ca
- Cetera Advisor Networks LLC formerJan 27, 2015 to Apr 19, 2016 · Rancho Cordova, Ca
- Principal Securities, Inc. BD affiliatedMar 6, 2014 to Jan 13, 2015 · Roseville, Ca
- Edward Jones national BDSep 24, 2010 to Sep 12, 2013 · Loomis, Ca
- UBS Financial Services Inc. wirehouseAug 15, 2008 to Aug 3, 2009 · Roseville, Ca
- Citigroup Global Markets Inc. BD affiliatedJan 31, 2007 to Aug 28, 2008 · Sacramento, Ca
Moves
a registration end followed by a registration begin elsewhere
- Cetera Advisor Networks LLC to The Wealth Consulting Groupleft Apr 19, 2016, registered Aug 29, 2017 (497 days) · Other · moved with a team
- Principal Securities, Inc. to Cetera Advisor Networks LLCleft Jan 13, 2015, registered Jan 27, 2015 (14 days) · Other
- Edward Jones to Principal Securities, Inc.left Sep 12, 2013, registered Mar 6, 2014 (175 days) · Other
- UBS Financial Services Inc. to Edward Jonesleft Aug 3, 2009, registered Sep 24, 2010 (417 days) · Wirehouse to affiliated broker-dealer or bank
- Citigroup Global Markets Inc. to UBS Financial Services Inc.left Aug 28, 2008, registered Aug 15, 2008 (-13 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
- Independent wealth managerderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address