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 David Hertzler

Kestra Advisory Services, LLCBD affiliatedChesterfield, Mo dual registrantIAPD 6286376

Feed of 09/15/2026

At current firm

4 y

since Jul 27, 2022

In the industry

12 y

since Dec 1, 2013 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

Kestra Advisory Services, LLC BD affiliated current
since Jul 27, 2022 · Austin, Tx
Financial Legacy Associates former
Apr 8, 2019 to Dec 22, 2022 · Chesterfield, Mo
Osaic Wealth, Inc. BD affiliated
Feb 28, 2019 to Jul 29, 2022 · Chesterfield, Mo
Brand Asset Management Group, Inc. independent RIA
Mar 31, 2014 to Dec 31, 2018 · Chesterfield, Mo

Moves

a registration end followed by a registration begin elsewhere

Financial Legacy Associates to Kestra Advisory Services, LLC
left Dec 22, 2022, registered Jul 27, 2022 (-148 days) · Other
Osaic Wealth, Inc. to Financial Legacy Associates
left Jul 29, 2022, registered Apr 8, 2019 (-1208 days) · Other
Brand Asset Management Group, Inc. to Osaic Wealth, Inc.
left Dec 31, 2018, registered Feb 28, 2019 (59 days) · RIA to affiliated broker-dealer or bank

Signals

James David Hertzler left Financial Legacy Associates for Kestra Advisory Services, Llc (registered 2022-07-27)
Dec 22, 2022 · Advisor changed firm · fact
James David Hertzler left Osaic Wealth, Inc. for Financial Legacy Associates (registered 2019-04-08)
Jul 29, 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: Broker-dealer affiliated wealth managerderived
Years in industry: 12derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address