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 Robert Horn

Rfg Advisory, LLCindependent RIAGetzville, Ny IA-onlyIAPD 5495146

Feed of 09/15/2026

At current firm

1 y

since Jan 10, 2025

In the industry

17 y

since Feb 19, 2009 (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

Rfg Advisory, LLC independent RIA current
since Jan 10, 2025 · Rochester, Ny
Edelman Financial Engines independent RIA
Nov 16, 2016 to Feb 5, 2025 · Amherst, Ny
The Mutual Fund Store unclassified
May 23, 2016 to Jul 19, 2016 · Amherst, Ny
Financial Engines Advisor Center, LLC former
Nov 16, 2015 to Dec 1, 2016 · Amherst, Ny
Ameriprise Financial Services, LLC national BD
Aug 17, 2015 to Dec 9, 2015 · Rochester, Ny
Advice And Planning Services BD affiliated
Apr 19, 2013 to Sep 4, 2015 · Rochester, Ny
M&T Securities, Inc. unclassified
Dec 10, 2012 to Jan 25, 2013 · Rochester, Ny

Moves

a registration end followed by a registration begin elsewhere

Edelman Financial Engines to Rfg Advisory, LLC
left Feb 5, 2025, registered Jan 10, 2025 (-26 days) · RIA to RIA
Financial Engines Advisor Center, LLC to The Mutual Fund Store
left Dec 1, 2016, registered May 23, 2016 (-192 days) · Other
The Mutual Fund Store to Edelman Financial Engines
left Jul 19, 2016, registered Nov 16, 2016 (120 days) · Other
Ameriprise Financial Services, LLC to Financial Engines Advisor Center, LLC
left Dec 9, 2015, registered Nov 16, 2015 (-23 days) · Other
Advice And Planning Services to Ameriprise Financial Services, LLC
left Sep 4, 2015, registered Aug 17, 2015 (-18 days) · Other
M&T Securities, Inc. to Advice And Planning Services
left Jan 25, 2013, registered Apr 19, 2013 (84 days) · Other

Signals

James Robert Horn left Edelman Financial Engines for Rfg Advisory, Llc (registered 2025-01-10)
Feb 5, 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: Independent wealth managerderived
Years in industry: 17derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address