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David William James

Investment Adviser Representative at LONE PEAK ADVISERS

Draper, UTCRD #1241412Dual-registered
Disclosure(s) on record — verify on FINRA BrokerCheck
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
42 yrs
States Registered
24 states
Exams Passed
5

Registrations & licenses

Registration type
Dual-registered
Registered in 24 states
AlabamaArizonaCaliforniaColoradoFloridaIdahoIndianaIowaMinnesotaMissouriNew JerseyNew YorkNorth CarolinaNorth DakotaOhioOregonPennsylvaniaTennesseeTexasUtahVirginiaWashingtonWest VirginiaWisconsin
Examinations passed
Series 65
Uniform Investment Adviser Law Examination
Passed 6/11/2003
Series 63
Uniform Securities Agent State Law Examination
Passed 2/22/1984
SIE
Securities Industry Essentials Examination
Passed 6/27/2018
Series 7
General Securities Representative Examination
Passed 2/18/1984
Series 26
Investment Company Products/Variable Contracts Principal Examination
Passed 10/13/2021

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Source

LONE PEAK Advisers Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

LONE PEAK ADVISERSCurrent
4/12/2023Draper, UT
LONE PEAK ADVISERS
9/20/201812/31/2022Draper, UT
LONE PEAK CAPITAL MANAGEMENT, LLC
1/30/20173/23/2021Draper, UT
LEGACY PLANNING GROUP
2/27/200812/31/2018Draper, UT
INVESTMENT MANAGEMENT CORPORATION
10/28/200312/10/2007Salt Lake City, UT
EAGLE GATE SECURITIES,INC.
5/2/200311/11/2003Salt Lake City, UT

Official records & sources

Data as of August 11, 2026 · Source: SEC IAPD & FINRA BrokerCheck

Other advisors at LONE PEAK ADVISERS

8 other advisors in the directory

View LONE PEAK ADVISERS firm profile
About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. David William James has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.

David William James - Financial Advisor in Draper, UT | AdvisorFinder