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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Registered advisor

J•••• B••••••

T• P•••••• C••••• W••••• L••BD affiliatedWellesley, Ma dual registrantIAPD 4803640

Feed of 09/14/2026

Also filed as James L. Baglini

At current firm

1 y

since Jan 2, 2025

In the industry

17 y

since Jun 1, 2009 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

T• P•••••• C••••• W••••• L•• BD affiliated current
since Jan 2, 2025 · Newton Centre, Ma
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Oct 24, 2022 to Nov 5, 2024 · Boston, Ma
E•••••••• A•••••••• L•• national BD
Oct 25, 2019 to Jun 7, 2022 · Wellesley, Ma
E•••• S••••••••• L•• BD affiliated
Jul 18, 2016 to Oct 17, 2019 · Waltham, Ma
S•••••••• S••••••••• BD affiliated
Jun 26, 2015 to Jun 1, 2016 · Boston, Ma
O•••• I••••••••• I••• BD affiliated
Sep 9, 2014 to Jun 19, 2015 · Lexington, Ma
A••••••••• F•••••••• S•••••••• L•• national BD
Oct 5, 2009 to Sep 19, 2012 · Boston, Ma
A••••••••• A•••••• S•••••••• I••• unclassified
Jun 2, 2009 to Oct 5, 2009 · Boston, Ma

Moves

a registration end followed by a registration begin elsewhere

M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to T• P•••••• C••••• W••••• L••
left Nov 5, 2024, registered Jan 2, 2025 (58 days) · Wirehouse to affiliated broker-dealer or bank
E•••••••• A•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Jun 7, 2022, registered Oct 24, 2022 (139 days) · Affiliated broker-dealer or bank to wirehouse
E•••• S••••••••• L•• to E•••••••• A•••••••• L••
left Oct 17, 2019, registered Oct 25, 2019 (8 days) · Affiliated broker-dealer or bank to another
S•••••••• S••••••••• to E•••• S••••••••• L••
left Jun 1, 2016, registered Jul 18, 2016 (47 days) · Other
O•••• I••••••••• I••• to S•••••••• S•••••••••
left Jun 19, 2015, registered Jun 26, 2015 (7 days) · Other
A••••••••• F•••••••• S•••••••• L•• to O•••• I••••••••• I•••
left Sep 19, 2012, registered Sep 9, 2014 (720 days) · Other
A••••••••• A•••••• S•••••••• I••• to A••••••••• F•••••••• S•••••••• L••
left Oct 5, 2009, registered Oct 5, 2009 (0 days) · corporate re-registration, not a move

Signals

J•••• B•••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for T• P•••••• C••••• W••••• L•• (registered 2025-01-02)
Nov 5, 2024 · a•••••• firm change · fact
J•••• B•••••• left E•••••••• A•••••••• L•• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2022-10-24)
Jun 7, 2022 · a•••••• firm change · 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: 17derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address