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RIA / WealthAdvisordual registered (broker-dealer)30 years in industry

James Alan Lyman

Advisor at BELLE HAVEN INVESTMENTS, L.P.

Rye Brook,, NY | RYE BROOK, NY

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 6:16 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Apr 17, 2009 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: BELLE HAVEN INVESTMENTS, L.P.
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Sep 27, 1995earliest registration or exam on IAPD
Years in industry: 30derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Exams: S63|S66
First exam: Sep 27, 1995
First registration: Apr 17, 2009
Dual registered: yes, broker-dealer
Other names: JAMES ALAN LYMAN|JAMES LYMAN
IAPD individual key: 1613050

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
BELLE HAVEN INVESTMENTS, L.P.	Independent wealth	May 12, 2023	n/a	yes	RYE BROOK, NY\|RYE BROOK, NY\|Rye Brook,, NY	Current employment
NEUBERGER BERMAN BD LLC	No RAUM reported	Oct 14, 2010	Apr 4, 2023	no	NEW YORK, NY	Previous registration
MORGAN STANLEY	Wirehouse	Jun 1, 2009	Feb 16, 2010	no	New York, NY	Previous registration
MORGAN STANLEY & CO. LLC	n/a	Apr 17, 2009	Jun 1, 2009	no	NEW YORK, NY	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
NEUBERGER BERMAN BD LLC	BELLE HAVEN INVESTMENTS, L.P.	Apr 4, 2023	May 12, 2023	38	Firm change	Other
MORGAN STANLEY	NEUBERGER BERMAN BD LLC	Feb 16, 2010	Oct 14, 2010	240	Firm change	Other
MORGAN STANLEY & CO. LLC	MORGAN STANLEY	Jun 1, 2009	Jun 1, 2009	0	Bulk transfer	Other

Relationships

Registered with (4)

→ BELLE HAVEN INVESTMENTS, L.P.Registered adviserregistration: current employment
May 12, 2023 to presentfactForm ADV
→ NEUBERGER BERMAN BD LLCRegistered adviserregistration: previous registration
Oct 14, 2010 to Apr 4, 2023factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 1, 2009 to Feb 16, 2010factForm ADV
→ MORGAN STANLEY & CO. LLCRegistered adviserregistration: previous registration
Apr 17, 2009 to Jun 1, 2009factForm ADV

Dated events

Occurred
Apr 4, 2023
Advisor changed firm
James Alan Lyman left Neuberger Berman Bd Llc for Belle Haven Investments, L.P. (registered 2023-05-12)
Form ADVobserved 5 days ago