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 Patrick Clancy
Feed of 09/15/2026
Also filed as James Patrick Clancy
At current firm
1 y
since Aug 12, 2025
In the industry
40 y
since Dec 23, 1985 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- Osaic Institutions, Inc. BD affiliated currentsince Aug 12, 2025 · Englewood, Nj
- LPL Financial LLC BD affiliatedDec 12, 2019 to Jun 17, 2025 · Cromwell, Ct
- Osaic Institutions, Inc. BD affiliatedMar 11, 2014 to Nov 26, 2019 · Meriden, Ct
- Voya Investment Management Co. LLC asset managerJun 5, 2012 to Mar 3, 2014 · New York, Ny
- Morgan Stanley wirehouseJun 1, 2009 to Jun 14, 2012 · New York, Ny
- Morgan Stanley & Co. LLC unclassifiedJul 17, 2008 to Jun 1, 2009 · New York, Ny
Moves
a registration end followed by a registration begin elsewhere
- LPL Financial LLC to Osaic Institutions, Inc.left Jun 17, 2025, registered Aug 12, 2025 (56 days) · Affiliated broker-dealer or bank to another
- Osaic Institutions, Inc. to LPL Financial LLCleft Nov 26, 2019, registered Dec 12, 2019 (16 days) · Affiliated broker-dealer or bank to another · moved with a team
- Voya Investment Management Co. LLC to Osaic Institutions, Inc.left Mar 3, 2014, registered Mar 11, 2014 (8 days) · Other
- Morgan Stanley to Voya Investment Management Co. LLCleft Jun 14, 2012, registered Jun 5, 2012 (-9 days) · Other
- Morgan Stanley & Co. LLC to Morgan Stanleyleft Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
Signals
- James Patrick Clancy left Lpl Financial Llc for Osaic Institutions, Inc. (registered 2025-08-12)Jun 17, 2025 · Advisor changed firm · fact
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
- 40derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address