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 F Pierotti
Feed of 09/15/2026
Also filed as James Francis Pierotti
At current firm
11 y
since Nov 5, 2014
In the industry
21 y
since Sep 1, 2005 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Flagship Harbor Advisors, LLC independent RIA currentsince Nov 5, 2014 · Norwell, Ma
- Cuna Brokerage Services, Inc. formerJul 20, 2009 to Oct 8, 2014 · Waverly, Ia
- Morgan Stanley wirehouseJun 1, 2009 to Jul 8, 2009 · Norwell, Ma
- Morgan Stanley & Co. LLC unclassifiedJun 12, 2007 to Jun 1, 2009 · Norwell, Ma
- Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseSep 2, 2005 to May 21, 2007 · Hingham, Ma
Moves
a registration end followed by a registration begin elsewhere
- Cuna Brokerage Services, Inc. to Flagship Harbor Advisors, LLCleft Oct 8, 2014, registered Nov 5, 2014 (28 days) · Other
- Morgan Stanley to Cuna Brokerage Services, Inc.left Jul 8, 2009, registered Jul 20, 2009 (12 days) · Other
- Morgan Stanley & Co. LLC to Morgan Stanleyleft Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- Merrill Lynch, Pierce, Fenner & Smith Incorporated to Morgan Stanley & Co. LLCleft May 21, 2007, registered Jun 12, 2007 (22 days) · Other
Signals
No dated event on this person.
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
- Independent wealth managerderived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address