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 Walter Allen

Newedge AdvisorsBD affiliatedNew Orleans, La IA-onlyIAPD 4879505

Feed of 09/15/2026

Also filed as Jay Allen

At current firm

0 y

since Dec 5, 2025

In the industry

20 y

since Apr 4, 2006 (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

Newedge Advisors BD affiliated current
since Dec 5, 2025 · New Orleans, La
Stonegate Investment Group, LLC former
Jul 9, 2021 to Dec 4, 2025 · Birmingham, Al
UBS Financial Services Inc. wirehouse
Nov 20, 2012 to Jul 20, 2021 · Atlanta, Ga
Gfo Advisory Services, LLC asset manager
May 11, 2007 to Oct 10, 2012 · Atlanta, Ga
Morgan Keegan & Company, LLC former
Apr 5, 2006 to Nov 28, 2006 · Memphis, Tn

Moves

a registration end followed by a registration begin elsewhere

Stonegate Investment Group, LLC to Newedge Advisors
left Dec 4, 2025, registered Dec 5, 2025 (1 days) · RIA to affiliated broker-dealer or bank · moved with a team
UBS Financial Services Inc. to Stonegate Investment Group, LLC
left Jul 20, 2021, registered Jul 9, 2021 (-11 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
Gfo Advisory Services, LLC to UBS Financial Services Inc.
left Oct 10, 2012, registered Nov 20, 2012 (41 days) · Other
Morgan Keegan & Company, LLC to Gfo Advisory Services, LLC
left Nov 28, 2006, registered May 11, 2007 (164 days) · Other

Signals

James Walter Allen left Stonegate Investment Group, Llc for Newedge Advisors (registered 2025-12-05)
Dec 4, 2025 · 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: 20derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address