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 T Katikos

Foguth Wealth Management, LLC.independent RIAScottsdale, Az IA-onlyIAPD 5151058

Feed of 09/14/2026

Also filed as Jt Katikos

At current firm

1 y

since Oct 3, 2024

In the industry

19 y

since Apr 11, 2007 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

Foguth Wealth Management, LLC. independent RIA current
since Oct 3, 2024 · Scottsdale, Az
Morgan Stanley wirehouse
Jan 4, 2023 to Aug 14, 2023 · Purchase, Ny
E*Trade Capital Management, LLC former
Dec 22, 2014 to Aug 14, 2023 · Scottsdale, Az
Charles Schwab & Co., Inc. national BD
Nov 3, 2011 to Dec 19, 2014 · Phoenix, Az
Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse
Jun 16, 2011 to Aug 11, 2011 · Chandler, Az
Usaa Financial Planning Services former
Dec 11, 2008 to May 5, 2011 · Phoenix, Az
Usaa Investment Services Company no RAUM
Feb 26, 2008 to Dec 31, 2008 · Phoenix, Az

Moves

a registration end followed by a registration begin elsewhere

Morgan Stanley to Foguth Wealth Management, LLC.
left Aug 14, 2023, registered Oct 3, 2024 (416 days) · Wirehouse to independent RIA
E*Trade Capital Management, LLC to Morgan Stanley
left Aug 14, 2023, registered Jan 4, 2023 (-222 days) · channel change inside one enterprise, not a move · moved with a team
Charles Schwab & Co., Inc. to E*Trade Capital Management, LLC
left Dec 19, 2014, registered Dec 22, 2014 (3 days) · Other
Merrill Lynch, Pierce, Fenner & Smith Incorporated to Charles Schwab & Co., Inc.
left Aug 11, 2011, registered Nov 3, 2011 (84 days) · Wirehouse to affiliated broker-dealer or bank
Usaa Financial Planning Services to Merrill Lynch, Pierce, Fenner & Smith Incorporated
left May 5, 2011, registered Jun 16, 2011 (42 days) · Other
Usaa Investment Services Company to Usaa Financial Planning Services
left Dec 31, 2008, registered Dec 11, 2008 (-20 days) · corporate re-registration, not a move

Signals

James T Katikos left Morgan Stanley for Foguth Wealth Management, Llc. (registered 2024-10-03)
Aug 14, 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: Independent wealth managerderived
Years in industry: 19derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address