David William James
AIF®Professional Summary
David William James, AIF® is a registered financial advisor currently at LONE PEAK ADVISERS located in Draper, Utah and TRANSITIONAL BROKER LLC located in Draper, Utah. David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. David has worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 26 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures on record.
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Credentials
Years of Experience
42 years in the financial services industry
Current & Past Employments
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Current Firm
CARTOGRAPH WEALTH | TB ADVISERS | STONEFIELD WEALTH | PEPPERWOOD FINANCIAL | PCRA CONNECT | LONE PEAK ADVISERS, LLC | LONE PEAK ADVISERS, INC. | LONE PEAK ADVISERS | DK FINANCIAL NETWORK
Contact Information
Main Address
11650 South State Street Suite 200, Draper, UT 84020-7150Phone Number
(801) 855-8886# of Employees
8SEC notice filing (11 States and Territories)
Registered to provide investment advisory services in 11 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
905AUM (Assets Under Management)
$125,444,600Similar Advisors
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Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
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Primary Firm SEC Registration
CARTOGRAPH WEALTH | TB ADVISERS | STONEFIELD WEALTH | PEPPERWOOD FINANCIAL | PCRA CONNECT | LONE PEAK ADVISERS, LLC | LONE PEAK ADVISERS, INC. | LONE PEAK ADVISERS | DK FINANCIAL NETWORK
State Registrations and Notice Filings
(1/6/2025)
(4/28/2023)
(6/22/2020)
(6/4/2020)
(3/20/2024)
(5/19/2020)
(4/12/2023)
(10/12/2022)
(4/13/2023)
(3/8/2024)
(5/22/2024)
(3/6/2024)
(3/5/2024)
(3/5/2024)
(8/22/2025)
(2/29/2024)
(7/6/2020)
(3/1/2024)
(3/6/2024)
(7/13/2020)
(4/12/2023)
(5/19/2020)
(4/12/2023)
(5/18/2021)
(4/5/2021)
(3/6/2024)
(3/4/2024)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 26 — Investment Company Products/Variable Contracts Principal Examination
Passed Oct 2021About the Series 26 examSRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view David William James's CRS (Customer Relationship Summary).
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