DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Registered advisor

James Richard Reim

Regal Investment Advisors LLCBD affiliatedErie, Pa dual registrantIAPD 1303142

Chartered Financial Analyst

Feed of 09/14/2026

Also filed as Jim Reim

At current firm

8 y

since Apr 18, 2018

In the industry

41 y

since Oct 5, 1984 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

Regal Investment Advisors LLC BD affiliated current
since Apr 18, 2018 · Kentwood, Mi
Ic Advisory Services, Inc. former
May 11, 2009 to Apr 17, 2018 · Millcreek Township, Pa
Morgan Stanley & Co. LLC unclassified
Apr 2, 2007 to Apr 14, 2009 · Erie, Pa
Morgan Stanley Dw Inc. unclassified
Nov 10, 2005 to Apr 2, 2007 · Erie, Pa

Moves

a registration end followed by a registration begin elsewhere

Ic Advisory Services, Inc. to Regal Investment Advisors LLC
left Apr 17, 2018, registered Apr 18, 2018 (1 days) · Affiliated broker-dealer or bank to another · moved with a team
Morgan Stanley & Co. LLC to Ic Advisory Services, Inc.
left Apr 14, 2009, registered May 11, 2009 (27 days) · Other
Morgan Stanley Dw Inc. to Morgan Stanley & Co. LLC
left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move

Signals

No dated event on this person.

Transition signals

Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.

Provenance

Source: IAPD individual compilation feedreportedadviserinfo.sec.gov
Firm class: Broker-dealer affiliated wealth managerderived
Years in industry: 41derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address