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•••• R• F••••••

J••• M••••• S••••••••• L••wirehouseNew York, Nydual registrantIAPD 5213668

Certified Financial Planner

Feed of 09/14/2026

Also filed as James R Fleming

At current firm

4 y

since Sep 1, 2022

In the industry

19 y

since Jan 9, 2007 (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

J••• M••••• S••••••••• L•• wirehouse current
since Sep 1, 2022 · New York, Ny
C••••••• P••••••• independent RIA
Apr 8, 2021 to Aug 23, 2022 · New York City, Ny
A••••• A•• P••••••• S••••••• BD affiliated
Dec 4, 2013 to Apr 20, 2018 · New York, Ny
M••••• S•••••• wirehouse
Jul 19, 2010 to Dec 31, 2011 · Boston, Ma
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Jan 9, 2007 to Jul 20, 2010 · Boston, Ma

Moves

a registration end followed by a registration begin elsewhere

C••••••• P••••••• to J••• M••••• S••••••••• L••
left Aug 23, 2022, registered Sep 1, 2022 (9 days) · RIA to wirehouse
A••••• A•• P••••••• S••••••• to C••••••• P•••••••
left Apr 20, 2018, registered Apr 8, 2021 (1084 days) · Affiliated broker-dealer or bank to independent RIA
M••••• S•••••• to A••••• A•• P••••••• S•••••••
left Dec 31, 2011, registered Dec 4, 2013 (704 days) · Other
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S••••••
left Jul 20, 2010, registered Jul 19, 2010 (-1 days) · Wirehouse to wirehouse

Signals

J•••• R• F•••••• left C••••••• P••••••• for J••• M••••• S••••••••• L•• (registered 2022-09-01)
Aug 23, 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: Wirehousederived
Years in industry: 19derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address