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RIA Intelligence
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Feed of 09/14/2026
Also filed as A••••• James M•••••
At current firm
4 y
since Dec 8, 2021
In the industry
11 y
since Dec 30, 2014 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- F••••• I••••••••• independent RIA currentsince Dec 8, 2021 · Park City, Ut
- M••••• S•••••• wirehouseOct 26, 2018 to Dec 3, 2021 · Green Bay, Wi
- E•••• V•••• M••••••••• asset managerNov 24, 2015 to Jan 31, 2017 · Boston, Ma
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• to F••••• I•••••••••left Dec 3, 2021, registered Dec 8, 2021 (5 days) · Wirehouse to independent RIA
- E•••• V•••• M••••••••• to M••••• S••••••left Jan 31, 2017, registered Oct 26, 2018 (633 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
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address