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 Martin
Certified Financial Planner
Feed of 09/14/2026
Also filed as Martin
At current firm
5 y
since Sep 7, 2021
In the industry
17 y
since Jan 22, 2009 (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, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Cetera Investment Advisers LLC BD affiliated currentsince Sep 7, 2021 · Tampa, Fl
- Pnc Managed Account Solutions, Inc. formerFeb 11, 2020 to Aug 23, 2021 · Tampa, Fl
- Osaic Fa, Inc. formerDec 27, 2018 to Jan 17, 2020 · Treasure Island, Fl
- Wells Fargo Advisors wirehouseMay 2, 2013 to Jan 7, 2019 · Tampa, Fl
- Morgan Stanley wirehouseMay 5, 2010 to May 29, 2013 · Palm Harbor, Fl
Moves
a registration end followed by a registration begin elsewhere
- Pnc Managed Account Solutions, Inc. to Cetera Investment Advisers LLCleft Aug 23, 2021, registered Sep 7, 2021 (15 days) · Affiliated broker-dealer or bank to another
- Osaic Fa, Inc. to Pnc Managed Account Solutions, Inc.left Jan 17, 2020, registered Feb 11, 2020 (25 days) · Affiliated broker-dealer or bank to another
- Wells Fargo Advisors to Osaic Fa, Inc.left Jan 7, 2019, registered Dec 27, 2018 (-11 days) · Wirehouse to affiliated broker-dealer or bank
- Morgan Stanley to Wells Fargo Advisorsleft May 29, 2013, registered May 2, 2013 (-27 days) · Wirehouse to wirehouse
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
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address