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 A. Matthews

Osaic Institutions, Inc.BD affiliatedSanta Fe, Txdual registrantIAPD 7361225

Feed of 09/14/2026

Also filed as James Arthur Matthews

At current firm

0 y

since Dec 1, 2025

In the industry

11 y

since Jun 1, 2015 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

Osaic Institutions, Inc. BD affiliated current
since Dec 1, 2025 · Santa Fe, Tx
Cetera Investment Advisers LLC BD affiliated
Mar 22, 2024 to Nov 21, 2025 · Webster, Tx
Cetera Advisors LLC former
Mar 14, 2024 to Mar 22, 2024 · Webster, Tx
J.P. Morgan Securities LLC wirehouse
Nov 1, 2022 to Mar 2, 2024 · Houston, Tx
Morgan Stanley wirehouse
Sep 20, 2021 to Feb 17, 2022 · Temple Terrace, Fl

Moves

a registration end followed by a registration begin elsewhere

Cetera Investment Advisers LLC to Osaic Institutions, Inc.
left Nov 21, 2025, registered Dec 1, 2025 (10 days) · Affiliated broker-dealer or bank to another
Cetera Advisors LLC to Cetera Investment Advisers LLC
left Mar 22, 2024, registered Mar 22, 2024 (0 days) · corporate re-registration, not a move
J.P. Morgan Securities LLC to Cetera Advisors LLC
left Mar 2, 2024, registered Mar 14, 2024 (12 days) · Wirehouse to affiliated broker-dealer or bank
Morgan Stanley to J.P. Morgan Securities LLC
left Feb 17, 2022, registered Nov 1, 2022 (257 days) · Wirehouse to wirehouse · moved with a team

Signals

James A. Matthews left Cetera Investment Advisers Llc for Osaic Institutions, Inc. (registered 2025-12-01)
Nov 21, 2025 · Advisor changed firm · fact
James A. Matthews left J.P. Morgan Securities Llc for Cetera Advisors Llc (registered 2024-03-14)
Mar 2, 2024 · Advisor changed firm · fact
James A. Matthews left Morgan Stanley for J.P. Morgan Securities Llc (registered 2022-11-01)
Feb 17, 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: 11derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address