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.

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Registered advisor

J•••• E• J•••

P••• A••••• S••••••••• L••BD affiliatedCranston, Ridual registrantIAPD 2193463

Feed of 09/14/2026

Also filed as Jim J•••

At current firm

1 y

since Nov 12, 2024

In the industry

34 y

since Nov 25, 1991 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

P••• A••••• S••••••••• L•• BD affiliated current
since Nov 12, 2024 · Cranston, Ri
C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated
Dec 9, 2022 to Nov 5, 2024 · East Greenwich, Ri
C••••••• • C••• I••• former
Jul 27, 2018 to Jun 1, 2023 · East Greenwich, Ri
V••• F•••••••• A•••••••• I••• BD affiliated
Sep 19, 2017 to Jul 17, 2018 · Danvers, Ma
M••••• S•••••• wirehouse
Jun 2, 2017 to Jun 30, 2017 · Newport, Ri
L•• F•••••••• L•• BD affiliated
Jan 1, 1997 to Jun 12, 2017 · East Greenwich, Ri

Moves

a registration end followed by a registration begin elsewhere

C•••••••• I••••••••• R••••••• A•••••••• I••• to P••• A••••• S••••••••• L••
left Nov 5, 2024, registered Nov 12, 2024 (7 days) · Affiliated broker-dealer or bank to another
C••••••• • C••• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••
left Jun 1, 2023, registered Dec 9, 2022 (-174 days) · corporate re-registration, not a move
V••• F•••••••• A•••••••• I••• to C••••••• • C••• I•••
left Jul 17, 2018, registered Jul 27, 2018 (10 days) · Affiliated broker-dealer or bank to another
M••••• S•••••• to V••• F•••••••• A•••••••• I•••
left Jun 30, 2017, registered Sep 19, 2017 (81 days) · Other
L•• F•••••••• L•• to M••••• S••••••
left Jun 12, 2017, registered Jun 2, 2017 (-10 days) · Other

Signals

J•••• E• J••• left C•••••••• I••••••••• R••••••• A•••••••• I••• for P••• A••••• S••••••••• L•• (registered 2024-11-12)
Nov 5, 2024 · 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: 34derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address