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.
Feed of 09/15/2026
Also filed as James Saunders Howe
At current firm
3 y
since Jul 19, 2023
In the industry
11 y
since Oct 1, 2014 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- LPL Financial LLC BD affiliated currentsince Jul 19, 2023 · Denver, Co
- Bancwest Investment Services, Inc. (Bwis) formerApr 14, 2021 to Jul 19, 2023 · Lakewood, Co
- Empower Advisory Group, LLC BD affiliatedOct 8, 2018 to Apr 9, 2021 · Greenwood Village, Co
- Fidelity Personal And Workplace Advisors formerJul 13, 2018 to Sep 19, 2018 · Boston, Ma
- Strategic Advisers LLC national BDMay 4, 2018 to Jul 13, 2018 · Greenwood Village, Co
Moves
a registration end followed by a registration begin elsewhere
- Bancwest Investment Services, Inc. (Bwis) to LPL Financial LLCleft Jul 19, 2023, registered Jul 19, 2023 (0 days) · corporate re-registration, not a move
- Empower Advisory Group, LLC to Bancwest Investment Services, Inc. (Bwis)left Apr 9, 2021, registered Apr 14, 2021 (5 days) · Other
- Fidelity Personal And Workplace Advisors to Empower Advisory Group, LLCleft Sep 19, 2018, registered Oct 8, 2018 (19 days) · Other
- Strategic Advisers LLC to Fidelity Personal And Workplace Advisorsleft Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move
Signals
No dated event on this person.
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
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address