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 Henry Morgan
Certified Financial Planner
Feed of 09/14/2026
Also filed as Jim Morgan
At current firm
10 y
since Jan 4, 2016
In the industry
20 y
since Mar 1, 2006 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, 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
- James Morgan Asset Management, LLC state registered currentsince Jan 4, 2016 · Broomfield, Co
- Wealth Teams Alliance independent RIASep 12, 2014 to Feb 25, 2016 · Broomfield, Co
- Cetera Advisor Networks LLC formerFeb 17, 2011 to Sep 16, 2014 · Broomfield, Co
- Qa3 Financial LLC unclassifiedJun 22, 2009 to Feb 11, 2011 · Brighton, Co
- Investment Advisors International, Inc. unclassifiedOct 21, 2008 to Jul 6, 2009 · Greenwood Village, Co
Moves
a registration end followed by a registration begin elsewhere
- Wealth Teams Alliance to James Morgan Asset Management, LLCleft Feb 25, 2016, registered Jan 4, 2016 (-52 days) · RIA to a state-registered adviser
- Cetera Advisor Networks LLC to Wealth Teams Allianceleft Sep 16, 2014, registered Sep 12, 2014 (-4 days) · Other
- Qa3 Financial LLC to Cetera Advisor Networks LLCleft Feb 11, 2011, registered Feb 17, 2011 (6 days) · Other
- Investment Advisors International, Inc. to Qa3 Financial LLCleft Jul 6, 2009, registered Jun 22, 2009 (-14 days) · Other
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
- STATE REGISTEREDderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address