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.

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Registered advisor

J•••• R•••

J••• M••••• S••••••••• L••wirehouseBethpage, Ny dual registrantIAPD 6602120

Feed of 09/15/2026

Also filed as Jim R•••

At current firm

5 y

since Dec 23, 2020

In the industry

10 y

since Feb 1, 2016 (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 Dec 23, 2020 · Bethpage, Ny
R•• W••••• B•••••••• I••• independent RIA
Nov 4, 2020 to Dec 4, 2020 · Montclair, Nj
C••••• • A••••••••• I••• independent RIA
Dec 5, 2019 to Dec 4, 2020 · Montclair, Nj
N••• C••••••••• BD affiliated
Jul 24, 2018 to Dec 3, 2019 · East Meadow, Ny
E•••••••• A•••••••• L•• national BD
Jun 3, 2016 to Jul 23, 2018 · Melville, Ny

Moves

a registration end followed by a registration begin elsewhere

R•• W••••• B•••••••• I••• to J••• M••••• S••••••••• L••
left Dec 4, 2020, registered Dec 23, 2020 (19 days) · RIA to wirehouse
C••••• • A••••••••• I••• to R•• W••••• B•••••••• I•••
left Dec 4, 2020, registered Nov 4, 2020 (-30 days) · RIA to RIA
N••• C••••••••• to C••••• • A••••••••• I•••
left Dec 3, 2019, registered Dec 5, 2019 (2 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
E•••••••• A•••••••• L•• to N••• C•••••••••
left Jul 23, 2018, registered Jul 24, 2018 (1 days) · Affiliated broker-dealer or bank to another · moved with a team

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: Wirehousederived
Years in industry: 10derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address