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 Allen Tolbert
Feed of 09/14/2026
At current firm
8 y
since Dec 1, 2017
In the industry
45 y
since May 2, 1981 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- B. Riley Wealth Advisors, Inc. BD affiliated currentsince Dec 1, 2017 · The Woodlands, Tx
- B Riley Wealth Management formerJan 22, 2014 to Aug 24, 2015 · Chicago, Il
- Sterne Agee Asset Management, Inc. formerApr 30, 2013 to Jan 27, 2014 · Chicago, Il
- B. Riley Wealth Advisors, Inc. BD affiliatedMar 8, 2010 to Apr 19, 2013 · Oakbrook, Il
- RBC Capital Markets, LLC national BDDec 7, 2004 to Feb 26, 2010 · Oakbrook Terrace, Il
- UBS Financial Services Inc. wirehouseMay 13, 1994 to Dec 16, 2004 · Hinsdale, Il
Moves
a registration end followed by a registration begin elsewhere
- B Riley Wealth Management to B. Riley Wealth Advisors, Inc.left Aug 24, 2015, registered Dec 1, 2017 (830 days) · Other
- Sterne Agee Asset Management, Inc. to B Riley Wealth Managementleft Jan 27, 2014, registered Jan 22, 2014 (-5 days) · Other
- B. Riley Wealth Advisors, Inc. to Sterne Agee Asset Management, Inc.left Apr 19, 2013, registered Apr 30, 2013 (11 days) · Other
- RBC Capital Markets, LLC to B. Riley Wealth Advisors, Inc.left Feb 26, 2010, registered Mar 8, 2010 (10 days) · Other
- UBS Financial Services Inc. to RBC Capital Markets, LLCleft Dec 16, 2004, registered Dec 7, 2004 (-9 days) · Wirehouse to affiliated broker-dealer or bank
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
- 45derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address