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 Allen

Tartan Financial Group, LLCstate registeredAndover, KsIA-onlyIAPD 5925654

Feed of 09/14/2026

Also filed as James R Allen

At current firm

0 y

since Aug 14, 2026

In the industry

14 y

since Nov 4, 2011 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

Tartan Financial Group, LLC state registered current
since Aug 14, 2026 · Andover, Ks
Cambridge Investment Research Advisors, Inc. BD affiliated
Nov 10, 2022 to Aug 25, 2026 · Andover, Ks
Morgan Stanley wirehouse
Jul 12, 2018 to Nov 14, 2022 · Kansas City, Mo
Commonwealth Financial Network national BD
Feb 25, 2014 to May 18, 2018 · Overland Park, Ks
Mariner BD affiliated
Nov 5, 2011 to Jan 9, 2014 · Overland Park, Ks

Moves

a registration end followed by a registration begin elsewhere

Cambridge Investment Research Advisors, Inc. to Tartan Financial Group, LLC
left Aug 25, 2026, registered Aug 14, 2026 (-11 days) · Affiliated broker-dealer or bank to a state-registered adviser
Morgan Stanley to Cambridge Investment Research Advisors, Inc.
left Nov 14, 2022, registered Nov 10, 2022 (-4 days) · Wirehouse to affiliated broker-dealer or bank
Commonwealth Financial Network to Morgan Stanley
left May 18, 2018, registered Jul 12, 2018 (55 days) · Affiliated broker-dealer or bank to wirehouse
Mariner to Commonwealth Financial Network
left Jan 9, 2014, registered Feb 25, 2014 (47 days) · Other

Signals

James Robert Allen left Cambridge Investment Research Advisors, Inc. for Tartan Financial Group, Llc (registered 2026-08-14)
Aug 25, 2026 · Advisor changed firm · fact
James Robert Allen left Morgan Stanley for Cambridge Investment Research Advisors, Inc. (registered 2022-11-10)
Nov 14, 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: STATE REGISTEREDderived
Years in industry: 14derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address