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 Brian Dillon
Feed of 09/15/2026
Also filed as James B Dillon
At current firm
12 y
since Sep 3, 2014
In the industry
20 y
since Sep 14, 2006 (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
S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Regal Investment Advisors LLC BD affiliated currentsince Sep 3, 2014 · Plymouth, In
- Concourse Financial Group Advisors formerJan 5, 2010 to Sep 24, 2014 · Plymouth, In
- Pnc Wealth Management BD affiliatedNov 13, 2009 to Dec 3, 2009 · South Bend, In
- Natcity Investments, Inc. unclassifiedApr 14, 2009 to Nov 13, 2009 · South Bend, In
- Raymond James & Associates, Inc. national BDSep 22, 2006 to Mar 30, 2009 · Mishawaka, In
Moves
a registration end followed by a registration begin elsewhere
- Concourse Financial Group Advisors to Regal Investment Advisors LLCleft Sep 24, 2014, registered Sep 3, 2014 (-21 days) · Other
- Pnc Wealth Management to Concourse Financial Group Advisorsleft Dec 3, 2009, registered Jan 5, 2010 (33 days) · Other
- Natcity Investments, Inc. to Pnc Wealth Managementleft Nov 13, 2009, registered Nov 13, 2009 (0 days) · corporate re-registration, not a move
- Raymond James & Associates, Inc. to Natcity Investments, Inc.left Mar 30, 2009, registered Apr 14, 2009 (15 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
- 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