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 Franklin
Feed of 09/14/2026
Also filed as Jim Franklin
At current firm
3 y
since Jun 9, 2023
In the industry
22 y
since Aug 26, 2004 (earliest exam, job or registration)
Prior registered firms
6
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- Independent Financial Group, LLC BD affiliated currentsince Jun 9, 2023 · Houston, Tx
- Cetera Advisor Networks LLC formerFeb 8, 2019 to Jun 8, 2023 · Houston, Tx
- 1st Global Advisors Inc formerMar 15, 2017 to Feb 11, 2019 · Houston, Tx
- Cetera Advisors LLC formerOct 3, 2016 to Mar 17, 2017 · Houston, Tx
- Investors Capital Advisory formerSep 30, 2010 to Oct 3, 2016 · Lynnfield, Ma
- Next Financial Group, Inc. formerJan 11, 2008 to Sep 22, 2010 · Houston, Tx
- Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseAug 27, 2004 to Jan 11, 2008 · Las Vegas, Nv
Moves
a registration end followed by a registration begin elsewhere
- Cetera Advisor Networks LLC to Independent Financial Group, LLCleft Jun 8, 2023, registered Jun 9, 2023 (1 days) · Affiliated broker-dealer or bank to another
- 1st Global Advisors Inc to Cetera Advisor Networks LLCleft Feb 11, 2019, registered Feb 8, 2019 (-3 days) · Affiliated broker-dealer or bank to another
- Cetera Advisors LLC to 1st Global Advisors Incleft Mar 17, 2017, registered Mar 15, 2017 (-2 days) · Other · moved with a team
- Investors Capital Advisory to Cetera Advisors LLCleft Oct 3, 2016, registered Oct 3, 2016 (0 days) · channel change inside one enterprise, not a move
- Next Financial Group, Inc. to Investors Capital Advisoryleft Sep 22, 2010, registered Sep 30, 2010 (8 days) · Other
- Merrill Lynch, Pierce, Fenner & Smith Incorporated to Next Financial Group, Inc.left Jan 11, 2008, registered Jan 11, 2008 (0 days) · Other
Signals
- James A Franklin left Cetera Advisor Networks Llc for Independent Financial Group, Llc (registered 2023-06-09)Jun 8, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address