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•••• R•••••• P••••••••

K•• I••••••••• S••••••• L••BD affiliatedBrooklyn, Ohdual registrantIAPD 6407330

Feed of 09/14/2026

Also filed as James Plantholt

At current firm

0 y

since Jan 22, 2026

In the industry

12 y

since Sep 1, 2014 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

K•• I••••••••• S••••••• L•• BD affiliated current
since Jan 22, 2026 · Brooklyn, Oh
R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated
Jun 8, 2021 to Aug 13, 2025 · Syracuse, Ny
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Jun 17, 2019 to May 13, 2021 · Utica, Ny
C••••••• S••••••••• I••• BD affiliated
Apr 3, 2018 to Jun 14, 2019 · Cicero, Ny

Moves

a registration end followed by a registration begin elsewhere

R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to K•• I••••••••• S••••••• L••
left Aug 13, 2025, registered Jan 22, 2026 (162 days) · Affiliated broker-dealer or bank to another
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••
left May 13, 2021, registered Jun 8, 2021 (26 days) · Wirehouse to affiliated broker-dealer or bank
C••••••• S••••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Jun 14, 2019, registered Jun 17, 2019 (3 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team

Signals

J•••• R•••••• P•••••••• left R•••••• J•••• F•••••••• S••••••• A•••••••• I•• for K•• I••••••••• S••••••• L•• (registered 2026-01-22)
Aug 13, 2025 · 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