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 Paul Wertz

LPL Financial LLCBD affiliatedArvada, Co dual registrantIAPD 5281474

Feed of 09/15/2026

Also filed as J.P. Wertz

At current firm

1 y

since Dec 10, 2024

In the industry

20 y

since Jun 1, 2006 (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

LPL Financial LLC BD affiliated current
since Dec 10, 2024 · Fort Collins, Co
Independent Financial Group, LLC BD affiliated
May 31, 2019 to Dec 12, 2024 · Windsor, Co
Cambridge Investment Research Advisors, Inc. BD affiliated
Jun 1, 2012 to Jun 10, 2019 · Fort Collins, Co
Equitable Advisors, LLC national BD
May 12, 2010 to Jun 5, 2012 · Fort Collins, Co
Evolve Investment Advisors unclassified
Aug 3, 2009 to Apr 30, 2010 · Austin, Tx
Evolve Securities, Inc. unclassified
Jul 30, 2009 to Aug 3, 2009 · Johnstown, Co
Jolliffe Capital, Inc. former
Jul 3, 2008 to Jul 14, 2009 · Glendale, Co
Qa3 Financial LLC unclassified
Aug 10, 2007 to Jul 2, 2008 · Fort Collins, Ca

Moves

a registration end followed by a registration begin elsewhere

Independent Financial Group, LLC to LPL Financial LLC
left Dec 12, 2024, registered Dec 10, 2024 (-2 days) · Affiliated broker-dealer or bank to another
Cambridge Investment Research Advisors, Inc. to Independent Financial Group, LLC
left Jun 10, 2019, registered May 31, 2019 (-10 days) · Affiliated broker-dealer or bank to independent RIA
Equitable Advisors, LLC to Cambridge Investment Research Advisors, Inc.
left Jun 5, 2012, registered Jun 1, 2012 (-4 days) · Other
Evolve Investment Advisors to Equitable Advisors, LLC
left Apr 30, 2010, registered May 12, 2010 (12 days) · Other
Evolve Securities, Inc. to Evolve Investment Advisors
left Aug 3, 2009, registered Aug 3, 2009 (0 days) · Other
Jolliffe Capital, Inc. to Evolve Securities, Inc.
left Jul 14, 2009, registered Jul 30, 2009 (16 days) · Other
Qa3 Financial LLC to Jolliffe Capital, Inc.
left Jul 2, 2008, registered Jul 3, 2008 (1 days) · Other

Signals

James Paul Wertz left Independent Financial Group, Llc for Lpl Financial Llc (registered 2024-12-10)
Dec 12, 2024 · 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