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•••• M••••• E••••••

J••••• M••••••••• S•••• L••BD affiliatedWestbrook, Ct dual registrantIAPD 2276124

Feed of 09/15/2026

Also filed as Jim M••••• E••••••

At current firm

1 y

since Nov 20, 2024

In the industry

33 y

since Oct 23, 1992 (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

J••••• M••••••••• S•••• L•• BD affiliated current
since Nov 20, 2024 · Westbrook, Ct
O•••• I••••••••• I••• BD affiliated
Oct 20, 2016 to Nov 20, 2024 · Mystic, Ct
C••••••••• F•••••••• N•••••• national BD
Aug 1, 2012 to Oct 13, 2016 · North Kingstown, Ri
C••••••• S••••••••• I••• BD affiliated
Mar 2, 2007 to Aug 1, 2012 · Wakefield, Ri
C••• B•••••••• S•••••••• I••• former
Jun 13, 2003 to Feb 27, 2007 · Westerly, Ri
Q•••• • R•••••• I••• unclassified
Dec 4, 2002 to Jun 10, 2003 · Providence, Ri

Moves

a registration end followed by a registration begin elsewhere

O•••• I••••••••• I••• to J••••• M••••••••• S•••• L••
left Nov 20, 2024, registered Nov 20, 2024 (0 days) · Affiliated broker-dealer or bank to another · moved with a team
C••••••••• F•••••••• N•••••• to O•••• I••••••••• I•••
left Oct 13, 2016, registered Oct 20, 2016 (7 days) · Other
C••••••• S••••••••• I••• to C••••••••• F•••••••• N••••••
left Aug 1, 2012, registered Aug 1, 2012 (0 days) · Other
C••• B•••••••• S•••••••• I••• to C••••••• S••••••••• I•••
left Feb 27, 2007, registered Mar 2, 2007 (3 days) · Other
Q•••• • R•••••• I••• to C••• B•••••••• S•••••••• I•••
left Jun 10, 2003, registered Jun 13, 2003 (3 days) · Other

Signals

J•••• M••••• E•••••• left O•••• I••••••••• I••• for J••••• M••••••••• S•••• L•• (registered 2024-11-20)
Nov 20, 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: 33derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address