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 M Fox

Financial & Tax Architects, LLCindependent RIASt. Louis, Mo IA-onlyIAPD 5712817

Feed of 09/15/2026

Also filed as James M Fox

At current firm

1 y

since Aug 14, 2025

In the industry

16 y

since Oct 8, 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

Financial & Tax Architects, LLC independent RIA current
since Aug 14, 2025 · St. Louis, Mo
LPL Enterprise, LLC BD affiliated
Nov 14, 2024 to Jul 11, 2025 · Downers Grove, Il
Pruco Securities, LLC no RAUM
Apr 30, 2024 to Nov 14, 2024 · Downers Grove, Il
Morgan Stanley wirehouse
Sep 5, 2023 to Apr 18, 2024 · Chicago, Il
E*Trade Capital Management, LLC former
Jun 22, 2022 to Sep 5, 2023 · Chicago, Il
Fifth Third Securities, Inc. BD affiliated
Feb 22, 2021 to May 2, 2022 · Wheaton, Il
Td Ameritrade, Inc. former
Feb 13, 2019 to Jan 11, 2021 · Gurnee, Il
Td Ameritrade Investment Management, LLC former
Feb 13, 2019 to Dec 31, 2020 · Gurnee, Il
Citigroup Global Markets Inc. BD affiliated
Jun 12, 2017 to Feb 21, 2019 · Streamwood, Il
Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse
Jun 20, 2016 to Jun 27, 2017 · Schaumburg, Il

Moves

a registration end followed by a registration begin elsewhere

LPL Enterprise, LLC to Financial & Tax Architects, LLC
left Jul 11, 2025, registered Aug 14, 2025 (34 days) · Affiliated broker-dealer or bank to independent RIA
Pruco Securities, LLC to LPL Enterprise, LLC
left Nov 14, 2024, registered Nov 14, 2024 (0 days) · corporate re-registration, not a move
Morgan Stanley to Pruco Securities, LLC
left Apr 18, 2024, registered Apr 30, 2024 (12 days) · Wirehouse to affiliated broker-dealer or bank
E*Trade Capital Management, LLC to Morgan Stanley
left Sep 5, 2023, registered Sep 5, 2023 (0 days) · corporate re-registration, not a move
Fifth Third Securities, Inc. to E*Trade Capital Management, LLC
left May 2, 2022, registered Jun 22, 2022 (51 days) · Affiliated broker-dealer or bank to independent RIA
Td Ameritrade, Inc. to Fifth Third Securities, Inc.
left Jan 11, 2021, registered Feb 22, 2021 (42 days) · Other
Td Ameritrade Investment Management, LLC to Td Ameritrade, Inc.
left Dec 31, 2020, registered Feb 13, 2019 (-687 days) · corporate re-registration, not a move
Citigroup Global Markets Inc. to Td Ameritrade Investment Management, LLC
left Feb 21, 2019, registered Feb 13, 2019 (-8 days) · Affiliated broker-dealer or bank to independent RIA
Merrill Lynch, Pierce, Fenner & Smith Incorporated to Citigroup Global Markets Inc.
left Jun 27, 2017, registered Jun 12, 2017 (-15 days) · Other

Signals

James M Fox left Lpl Enterprise, Llc for Financial & Tax Architects, Llc (registered 2025-08-14)
Jul 11, 2025 · Advisor changed firm · fact
James M Fox left Morgan Stanley for Pruco Securities, Llc (registered 2024-04-30)
Apr 18, 2024 · Advisor changed firm · fact
James M Fox left Fifth Third Securities, Inc. for E*Trade Capital Management, Llc (registered 2022-06-22)
May 2, 2022 · 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: 16derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address