DJ
David W. James
LONE PEAK ADVISERS
Draper, UT 84020-7150
Some features on this profile are disabled
CRD#: 1241412
DJ
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.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
LASER LENDING, INC: POSITION: MORTGAGE LOAN ORIGINATOR. NATURE: MORTGAGE LOANS. INVESTMENT RELATED: YES. NUMBER OF HOURS/MO: 1. INVESTMENT RELATED HOURS: 1. START DATE: 11/09/2012 ADDRESS: 11576 S STATE ST, DRAPER UT 84020 DESCRIPTION: MORTGAGE LOAN ORIGINATOR. David WM. James LLC- not investment related; Draper, UT USA; LLC for tax purposes and ownership of both Transitional Broker, LLC and Lone Peak Advisers, LLC; Member/Manager; 1/1/2020; O hours; Traditional Broker Insurance Agency; not investment related; Draper, UT USA; Registered Agent; 11/30/2023; Less than 1 hour a month; Facilitate insurance licenses for Transitional Broker, LLC Independent Agent- Not investment related; Draper, UT USA; Insurance Agent; 11/01/1995; Less than 4 hours a month during trading hours. facilitate insurance products for customers Lone Peak Advisers, LLC- Yes investment related; Draper, UT USA; Registered Investment Advisor; Manager/COO; 6/15/2018; 100 hours during market hours; 60 during non trading hours; Provide investment and planning advice to clients. Kellogg Insurance; Agent; Not Investment Related; 11931 S 700 E Draper UT 84020; Description: Medicare supplemental insurance.; Responsibilities: Assist seniors of Medicare age with supplement questions.; Start date: 2025-09-01; 2 Hours per month devoted to business during trading hours; 2 Hours per month devoted to business outside trading hours; 1 Percent of total yearly compensation expected to be derived from the business.
CRS (Client Relationship Summary) - RIA
Click below to view David William James's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
Experience
Current
April 12, 2023 - Present
LONE PEAK ADVISERS
Office #1: 11650 South State Street Suite 200, Draper, UT 84020-7150RIA
CRD#: 296772
Draper, UT
Current
May 18, 2020 - Present
TRANSITIONAL BROKER LLC
Office #1: 11650 S. State Street, Suite 200, Draper, UT 84020BD
CRD#: 304313
Draper, UT
Past
September 20, 2018 - December 31, 2022
LONE PEAK ADVISERS
RIA
CRD#: 296772
DRAPER, UT
Past
January 30, 2017 - March 23, 2021
LONE PEAK CAPITAL MANAGEMENT, LLC
RIA
CRD#: 284298
DRAPER, UT
Past
March 26, 2008 - June 27, 2018
GROVE POINT INVESTMENTS, LLC
BD
CRD#: 1763
Draper, UT
Past
February 27, 2008 - December 31, 2018
LEGACY PLANNING GROUP
RIA
CRD#: 145130
DRAPER, UT
Past
October 16, 2007 - April 1, 2008
GUNNALLEN FINANCIAL, INC
BD
CRD#: 17609
SALT LAKE CITY, UT
Past
October 28, 2003 - December 10, 2007
INVESTMENT MANAGEMENT CORPORATION
RIA
CRD#: 37196
SALT LAKE CITY, UT
Past
October 27, 2003 - December 10, 2007
INVESTMENT MANAGEMENT CORPORATION
BD
CRD#: 37196
SALT LAKE CITY, UT
Past
May 2, 2003 - November 11, 2003
EAGLE GATE SECURITIES, INC.
RIA
CRD#: 46959
SALT LAKE CITY, UT
Past
December 3, 2001 - November 11, 2003
EAGLE GATE SECURITIES, INC.
BD
CRD#: 46959
SALT LAKE CITY, UT
Past
July 26, 1996 - December 10, 2001
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
October 6, 1986 - June 13, 1996
PIPER SANDLER & CO.
BD
CRD#: 665
MINNEAPOLIS, MN
Past
February 24, 1984 - October 10, 1986
MORGAN STANLEY DW INC.
BD
CRD#: 7556
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
LP
LONE PEAK ADVISERS
CARTOGRAPH WEALTH | STONEFIELD WEALTH | PEPPERWOOD FINANCIAL | PCRA CONNECT | LONE PEAK ADVISERS, LLC | LONE PEAK ADVISERS, INC. | LONE PEAK ADVISERS | DK FINANCIAL NETWORK
CRD#: 296772 / SEC#: 801-127627
RIA
Registered Investment Advisory firm - (3/28/2023 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(1/6/2025)
IAR
Arizona(4/28/2023)
RR
California(6/22/2020)
RR
Colorado(6/4/2020)
RR
Florida(3/20/2024)
RR
Idaho(5/19/2020)
IAR
Idaho(4/12/2023)
RR
Indiana(10/12/2022)
IAR
Iowa(4/13/2023)
RR
Minnesota(3/8/2024)
RR
Missouri(5/22/2024)
RR
New Jersey(3/6/2024)
RR
New York(3/5/2024)
RR
North Carolina(3/5/2024)
RR
North Dakota(8/22/2025)
RR
Ohio(2/29/2024)
RR
Oregon(7/6/2020)
RR
Pennsylvania(3/1/2024)
RR
Tennessee(3/6/2024)
RR
Texas(7/13/2020)
IAR
Texas(4/12/2023)
RR
Utah(5/19/2020)
IAR
Utah(4/12/2023)
RR
Virginia(5/18/2021)
RR
Washington(4/5/2021)
RR
West Virginia(3/6/2024)
RR
Wisconsin(3/4/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
LP
LONE PEAK ADVISERS
CARTOGRAPH WEALTH | STONEFIELD WEALTH | PEPPERWOOD FINANCIAL | PCRA CONNECT | LONE PEAK ADVISERS, LLC | LONE PEAK ADVISERS, INC. | LONE PEAK ADVISERS | DK FINANCIAL NETWORK
CRD#: 296772 / SEC#: 801-127627
RIA
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Contact information
Main Address
11650 South State Street Suite 200, Draper, UT 84020-7150
Mailing Address
Phone number
(801) 855-8886
Established
Firm type
Fiscal year end
# of Employees
8
SEC notice filing (11 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 743 |
| AUM (Assets Under Management) | $ 119,000,000 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
