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James Miller

Chief Executive Officer at Capfinancial Partners

Investment adviser registrationRaleigh, NCSEC record checked 17 October 2026

39
Years in the industry
11
Years at the firm
4
Adviser firms
2
State registrations

IAPD record retrieved 17 October 2026SEC record

James Miller is Chief Executive Officer of Capfinancial Partners, LLC, a Raleigh investment adviser managing $1.24T. James Miller has been registered through Capfinancial Partners since 9 April 2015, has 39 years in the industry across 4 firms and has passed 8 licensing exams.

Role at Capfinancial Partners

Title on Schedule A
Chief Executive Officer
Control
James Miller is a control person of Capfinancial Partners.
Ownership
An individual ownership band is not available in the source record.
Tenure
James Miller has held the filed role since February 2003.

The firm

Capfinancial Partners, LLC
Raleigh, NC

Form ADV filed 30 September 2026

$1.24T AUM41,750 clients885 advisers26 offices

Career on record

James Miller has been registered through Capfinancial Partners since April 2015, and before that through Wachovia Securities Financial Network, LLC and Captrust Financial Advisors.

Firms and exams, newest first
  1. Passed Series 10 and Series 9 · 2023
  2. Passed SIE · 2018
  3. CaptrustCurrent
    – present · 12 years
    Raleigh, NC · Adviser representative · Firm CRD 175112
  4. Captrust Financial Advisors Or "captrust"
    – · 12 years
    Raleigh, NC · Adviser representative · Firm CRD 126291
  5. Passed Series 24 · 2003
  6. Wachovia Securities Financial Network, LLC
    – · 1 year
    Raleigh, NC · Adviser representative · Firm CRD 11025
  7. Captrust Financial Advisors
    – · 5 years
    Raleigh, NC · Adviser representative · Firm CRD 41727
  8. Passed Series 8 · 1994
  9. Passed Series 65 · 1991
  10. Passed Series 63 · 1987
  11. Passed Series 7 · 1986

Registrations and exams

James Miller has a current investment-adviser registration in North Carolina and Texas and has passed 8 qualifying exams.

North Carolina15 April 2015
Scope
Investment adviser representative
Status
Approved
Texas9 April 2015
Scope
Investment adviser representative
Status
Approved

Examinations

Series 6528 September 1991
Name
Uniform Investment Adviser Law Examination
Series 6320 January 1987
Name
Uniform Securities Agent State Law Examination
Series 102 January 2023
Name
General Securities Sales Supervisor - General Module Examination
Series 92 January 2023
Name
General Securities Sales Supervisor - Options Module Examination
Series 2427 May 2003
Name
General Securities Principal Examination
Series 813 September 1994
Name
General Securities Sales Supervisor Examination (Options Module & General Module)
SIE1 October 2018
Name
Securities Industry Essentials Examination
Series 720 December 1986
Name
General Securities Representative Examination

Individual record

Full name
James Fielding Miller
CRD
1587301
Firm
Capfinancial Partners, LLC
Registration status
Investment adviser registration
Office
4208 SIX FORKS RD, SUITE 1700, Raleigh, NC 27609
Firm bio
captrust.com

This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov

Background

CAPTRUST lists J. Fielding Miller as chief executive officer. Official firm biography/team page

Common questions

Where does James Miller work?

James Miller has been Chief Executive Officer of Capfinancial Partners, LLC since February 2003, and is a control person of the firm.

Source: Form ADV, Schedule A, filed 30 September 2026

Is James Miller a financial advisor?

Yes. James Miller has a current investment-adviser registration in North Carolina and Texas, through Capfinancial Partners since April 2015, as of 17 October 2026.

Source: IAPD individual record, checked 17 October 2026

How many years of experience does James Miller have?

James Miller has worked in the financial industry for 39 years as of 17 October 2026, counted from 25 December 1986, across 4 adviser firms.

Source: IAPD individual record, checked 17 October 2026

What exams has James Miller passed?

James Miller has passed 8 licensing exams: the Series 7, Series 63, Series 65, Series 8, Series 24, SIE, Series 10 and Series 9. The earliest, the Series 7, was passed in December 1986.

Source: IAPD individual record, checked 17 October 2026

Where did James Miller work before Capfinancial Partners?

Before Capfinancial Partners, James Miller was registered through Wachovia Securities Financial Network, LLC, June 2002 to October 2003; Captrust Financial Advisors, October 1997 to June 2002.

Source: IAPD individual record, checked 17 October 2026

Where is James Miller based?

James Miller’s registered office is in Raleigh, NC.

Source: IAPD individual record, checked 17 October 2026

Leadership at Capfinancial Partners

Sources

  1. IAPD individual record, CRD 1587301. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of Capfinancial Partners, LLC, filed 30 September 2026. Title, control and ownership bands.
  3. Capfinancial Partners team page. Biography, education, credentials, awards.

Retrieved 17 October 2026. The SEC record may have been amended since.

Report a correction

This profile is compiled from public regulatory records and the firm's own published materials, and is provided for informational purposes only. Niva Wealth is not affiliated with James Miller or Capfinancial Partners, LLC and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.