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•••• A••••

M••••••BD affiliatedRobbinsville, Nj IA-onlyIAPD 2269028

Certified Financial Planner

Feed of 09/14/2026

Also filed as James E Alban

At current firm

0 y

since Jun 3, 2026

In the industry

34 y

since Sep 3, 1992 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

M•••••• BD affiliated current
since Jun 3, 2026 · Robbinsville, Nj
P•••••••• S••••••••• I••• BD affiliated
Aug 18, 2023 to Oct 16, 2023 · Marlton, Nj
F••••••• P••••••• A•• W•••••••• A••••••• former
Jul 13, 2018 to Jan 10, 2022 · Boston, Ma
S•••••••• A••••••• L•• national BD
Jun 16, 2003 to Jul 13, 2018 · Princeton, Nj

Moves

a registration end followed by a registration begin elsewhere

P•••••••• S••••••••• I••• to M••••••
left Oct 16, 2023, registered Jun 3, 2026 (961 days) · Affiliated broker-dealer or bank to another
F••••••• P••••••• A•• W•••••••• A••••••• to P•••••••• S••••••••• I•••
left Jan 10, 2022, registered Aug 18, 2023 (585 days) · Affiliated broker-dealer or bank to another
S•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••
left Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move

Signals

J•••• A•••• left P•••••••• S••••••••• I••• for Mariner (registered 2026-06-03)
Oct 16, 2023 · Advisor changed firm · fact
J•••• A•••• left F••••••• P••••••• A•• W•••••••• A••••••• for P•••••••• S••••••••• I••• (registered 2023-08-18)
Jan 10, 2022 · 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