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•••• S••••••••

J••• M••••• S••••••••• L••wirehouseNew York, Ny dual registrantIAPD 5798495

Feed of 09/15/2026

Also filed as James M Sabbatini

At current firm

0 y

since Jul 21, 2026

In the industry

16 y

since Jul 26, 2010 (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 Jul 21, 2026 · New York, Ny
O•••• W•••••• I••• BD affiliated
Jan 24, 2025 to Apr 2, 2025 · Scottsdale, Az
O•••• F•• I••• former
Feb 7, 2023 to Jan 24, 2025 · Radnor, Pa
O•••• P•••••••• S••••••••• L•• former
Apr 20, 2022 to Sep 1, 2022 · Seattle, Wa
T••••••• I••••••••• M••••••••• I••• BD affiliated
May 31, 2019 to Apr 13, 2022 · Bellevue, Wa
M••••• O• O•••• I••••••• S•••••••• I••• independent RIA
Jul 23, 2018 to May 30, 2019 · Lynnwood, Wa
R•••••• I••••••••• asset manager
May 15, 2014 to Jan 20, 2015 · Seattle, Wa
A••••••••• I••• BD affiliated
Aug 22, 2011 to May 23, 2014 · Concord, Ca
E••••• J•••• national BD
Jul 26, 2010 to Jun 27, 2011 · Chicago, Il

Moves

a registration end followed by a registration begin elsewhere

O•••• W•••••• I••• to J••• M••••• S••••••••• L••
left Apr 2, 2025, registered Jul 21, 2026 (475 days) · Affiliated broker-dealer or bank to wirehouse
O•••• F•• I••• to O•••• W•••••• I•••
left Jan 24, 2025, registered Jan 24, 2025 (0 days) · corporate re-registration, not a move
O•••• P•••••••• S••••••••• L•• to O•••• F•• I•••
left Sep 1, 2022, registered Feb 7, 2023 (159 days) · RIA to affiliated broker-dealer or bank
T••••••• I••••••••• M••••••••• I••• to O•••• P•••••••• S••••••••• L••
left Apr 13, 2022, registered Apr 20, 2022 (7 days) · Affiliated broker-dealer or bank to independent RIA
M••••• O• O•••• I••••••• S•••••••• I••• to T••••••• I••••••••• M••••••••• I•••
left May 30, 2019, registered May 31, 2019 (1 days) · Other
R•••••• I••••••••• to M••••• O• O•••• I••••••• S•••••••• I•••
left Jan 20, 2015, registered Jul 23, 2018 (1280 days) · Other
A••••••••• I••• to R•••••• I•••••••••
left May 23, 2014, registered May 15, 2014 (-8 days) · Other
E••••• J•••• to A••••••••• I•••
left Jun 27, 2011, registered Aug 22, 2011 (56 days) · Other

Signals

J•••• S•••••••• left O•••• W•••••• I••• for J••• M••••• S••••••••• L•• (registered 2026-07-21)
Apr 2, 2025 · Advisor changed firm · fact
J•••• S•••••••• left O•••• P•••••••• S••••••••• L•• for O•••• F•• I••• (registered 2023-02-07)
Sep 1, 2022 · Advisor changed firm · fact
J•••• S•••••••• left T••••••• I••••••••• M••••••••• I••• for O•••• P•••••••• S••••••••• L•• (registered 2022-04-20)
Apr 13, 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: 16derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address