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DAVID JAMES FINANCIAL

NORTH LIBERTY, IA · CRD 306301 · IAPD ↗ · lanefamilywm.com · 319 535-4525

$116.1MRegulatory AUM
2Advisory reps
4Employees
0Clients
n/aPlanning clients
0Private funds
6States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

60
April 2026 — DAVID JAMES FINANCIAL (NORTH LIBERTY, IA) left the SEC roster (was $116.1M RAUM, 2 reps).
Firm dropped off the SEC roster: closed, merged, fell below $100M and moved to state registration, or a 120-day provisional registration lapsed.
Recruiting & transitionsM&A & valuation
42
June 2024 — DAVID JAMES FINANCIAL notice-filed in LA.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.