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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Registered advisor

J•••• D• W•••••••

C•••• P•••• W••••• A•••••••independent RIAHood River, OrIA-onlyIAPD 5739663

Feed of 09/14/2026

Also filed as James D. Williams

At current firm

3 y

since Oct 16, 2022

In the industry

16 y

since Jun 12, 2010 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

C•••• P•••• W••••• A••••••• independent RIA current
since Oct 16, 2022 · Hood River, Or
E••••• J•••• national BD
Aug 8, 2017 to Oct 17, 2022 · Hood River, Or
J••• M••••• S••••••••• L•• wirehouse
Oct 1, 2012 to Aug 8, 2017 · Lake Oswego, Or
C•••• I••••••••• S••••••• C•••• former
Mar 2, 2011 to Oct 1, 2012 · Milwaukie, Or
E•••••••• A•••••••• L•• national BD
Jun 14, 2010 to Oct 19, 2010 · Portland, Or

Moves

a registration end followed by a registration begin elsewhere

E••••• J•••• to C•••• P•••• W••••• A•••••••
left Oct 17, 2022, registered Oct 16, 2022 (-1 days) · Affiliated broker-dealer or bank to a newly registered adviser · moved with a team
J••• M••••• S••••••••• L•• to E••••• J••••
left Aug 8, 2017, registered Aug 8, 2017 (0 days) · Wirehouse to affiliated broker-dealer or bank
C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••
left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
E•••••••• A•••••••• L•• to C•••• I••••••••• S••••••• C••••
left Oct 19, 2010, registered Mar 2, 2011 (134 days) · Other

Signals

J•••• D• W••••••• left E••••• J•••• for C•••• P•••• W••••• A••••••• (registered 2022-10-16)
Oct 17, 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