David James has been Manager/Principal of Lone Peak Advisers since May 2018, is a control person of the firm and directly owns 75% or more of it.
Lone Peak Advisers, LLC is a Draper, UT firm with $125M under management, 905 clients and 8 advisers in one office, as of its March 2026 filing.
David James’ longest registration was 10 years at Legacy Planning Group (2008–2018). Before joining Lone Peak Advisers in 2023, David James was registered through Lone Peak Capital Management, LLC and Legacy Planning Group.
- Lone Peak Capital Management, LLC– · 4 yearsDraper, UT · Adviser representative · Firm CRD 284298
- Legacy Planning Group– · 10 yearsDraper, UT · Adviser representative · Firm CRD 145130
- Investment Management Corporation– · 4 yearsSalt Lake City, UT · Adviser representative · Firm CRD 37196
- Eagle Gate Securities,inc.– · under a yearSalt Lake City, UT · Adviser representative · Firm CRD 46959
Investment adviser representative registrations
David James is registered as an investment adviser representative in 5 states, as a resident of Texas. Each was approved in April 2023.
- ArizonaSince 28 April 2023
- IdahoSince 12 April 2023
- IowaSince 13 April 2023
- TexasResidentSince 12 April 2023
- UtahSince 12 April 2023
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 26 | Investment Company Products/Variable Contracts Principal Examination | 13 October 2021 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 65 | Uniform Investment Adviser Law Examination | 11 June 2003 |
| Series 63 | Uniform Securities Agent State Law Examination | 22 February 1984 |
| Series 7 | General Securities Representative Examination | 18 February 1984 |
- Name
- Investment Company Products/Variable Contracts Principal Examination
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- David William James
- CRD
- 1241412
- Firm
- Lone Peak Advisers · CRD 296772
- Role
- Manager/Principal
- Office
- 11650 SOUTH STATE STREET, SUITE 200, Draper, UT 84020-7150
- Registration
- Investment adviser and broker registrations
- In the industry since
- April 1984
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does David James work?
David James has been Manager/Principal of Lone Peak Advisers, LLC since May 2018, and is a control person of the firm.
Is David James a financial advisor?
Yes. David James has a current investment-adviser registration in Arizona, Idaho, Iowa, Texas and Utah, through Lone Peak Advisers since April 2023.
How many years of experience does David James have?
David James has 42 years in the financial industry, since April 1984, across 5 adviser firms.
What exams has David James passed?
David James has passed 4 licensing exams: the Series 7, Series 63, Series 65 and Series 26. The earliest, the Series 7, was passed in February 1984. FINRA credited David James with the SIE, which began in October 2018.
Where did David James work before Lone Peak Advisers?
Before Lone Peak Advisers, David James was registered through Lone Peak Capital Management, LLC, January 2017 to March 2021; Legacy Planning Group, February 2008 to December 2018; Investment Management Corporation, October 2003 to December 2007; Eagle Gate Securities,inc., May 2003 to November 2003.
Where is David James based?
David James’ registered office is in Draper, UT.
Is David James registered with FINRA?
Yes. David James has a current broker registration, under CRD 1241412.
Source: FINRA BrokerCheck
How can I verify David James’ record?
Search CRD 1241412 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish David James’ full registration record.