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 Richard Keller
Certified Financial Planner
Feed of 09/14/2026
Also filed as James Richard Keller
At current firm
0 y
since Jun 16, 2026
In the industry
10 y
since Feb 16, 2016 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
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
- Keller Investment Advisors LLC state registered currentsince Jun 16, 2026 · Jackson, Wy
- Cerity Partners LLC independent RIANov 17, 2023 to Nov 17, 2025 · New York, Ny
- Tocqueville Asset Management LP independent RIASep 22, 2017 to Jun 20, 2019 · New York, Ny
- Raif, LLC unclassifiedFeb 17, 2016 to May 29, 2016 · Jackson Hole, Wy
- Thermopolis Partners, LLC unclassifiedFeb 16, 2016 to Feb 25, 2016 · Jackson Hole, Wy
Moves
a registration end followed by a registration begin elsewhere
- Cerity Partners LLC to Keller Investment Advisors LLCleft Nov 17, 2025, registered Jun 16, 2026 (211 days) · RIA to a state-registered adviser
- Tocqueville Asset Management LP to Cerity Partners LLCleft Jun 20, 2019, registered Nov 17, 2023 (1611 days) · Affiliated broker-dealer or bank to independent RIA
- Raif, LLC to Tocqueville Asset Management LPleft May 29, 2016, registered Sep 22, 2017 (481 days) · Other
- Thermopolis Partners, LLC to Raif, LLCleft Feb 25, 2016, registered Feb 17, 2016 (-8 days) · Other
Signals
- James Richard Keller left Cerity Partners Llc for Keller Investment Advisors Llc (registered 2026-06-16)Nov 17, 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
- STATE REGISTEREDderived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address