James Matthew Foley | Financial Professional | Princeton, New Jersey | KINETIC INVESTMENT MANAGEMENT, INC.

Professional summary

James Matthew Foley, who also goes by Jay Foley, is a registered financial advisor currently at KINETIC INVESTMENT MANAGEMENT, INC. located in Princeton, New Jersey.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1996. James has worked at 19 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 52 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jay Foley

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1.) MAXGUARD WEALTH LLC; YES INVESTMENT RELATED; 300 CARNEGIE CENTER DR, SUITE 150, PRINCETON, NJ 08540; INSURANCE SALES; PRESIDENT; START DATE 08/2016; APPROX 160 HRS/MONTH; APPROX 160 HRS/MONTH DURING TRADING; INSURANCE SALES AND SERVICES. 2) I am a licensed insurance agent. My focus is annuities and Life Insurance. I am paid comissions directly from the insurance carriers.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Matthew Foley's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

January 3, 2022 - Present

KINETIC INVESTMENT MANAGEMENT, INC.

Office #1: 300 Carnegie Center Drive Suite 240, Princeton, NJ 08540

RIA

CRD#: 283034

Princeton, NJ

Past

August 10, 2020 - December 16, 2021

AE WEALTH MANAGEMENT, LLC

RIA

CRD#: 282580

PRINCETON, NJ

Past

January 7, 2020 - July 8, 2020

ELEVATED CAPITAL ADVISORS, LLC

RIA

CRD#: 226721

Princeton, NJ

Past

September 6, 2018 - October 29, 2018

AE WEALTH MANAGEMENT, LLC

RIA

CRD#: 282580

PRINCETON, NJ

Past

April 27, 2018 - July 24, 2018

QUESTAR ASSET MANAGEMENT, INC.

RIA

CRD#: 133358

PRINCETON, NJ

Past

April 26, 2018 - July 24, 2018

QUESTAR CAPITAL CORPORATION

BD

CRD#: 43100

PRINCETON, NJ

Past

March 1, 2017 - December 4, 2017

CREATIVEONE WEALTH, LLC

RIA

CRD#: 281213

Allentown, NJ

Past

April 7, 2015 - May 12, 2016

AMERICAFIRST SECURITIES, INC.

BD

CRD#: 47071

ROSEVILLE, CA

Past

October 18, 2013 - December 31, 2013

AMERICAFIRST SECURITIES, INC.

BD

CRD#: 47071

ROSEVILLE, CA

Past

January 18, 2013 - October 10, 2013

ALPS DISTRIBUTORS, INC.

BD

CRD#: 16853

DENVER, CO

Past

February 3, 2011 - January 18, 2013

SIP NORDIC AMERICA LLC

BD

CRD#: 153094

STAMFORD, CT

Past

July 14, 2009 - November 23, 2009

MATRIX CAPITAL GROUP, INC.

BD

CRD#: 33364

NEW YORK, NY

Past

February 5, 2008 - March 18, 2008

LEADER CAPITAL CORP.

BD

CRD#: 46206

VANCOUVER, WA

Past

August 3, 2006 - February 12, 2008

ADVISORS ASSET MANAGEMENT, INC.

BD

CRD#: 46727

MONUMENT, CO

Past

June 18, 2004 - February 10, 2006

M&T SECURITIES, INC.

BD

CRD#: 17358

BALTIMORE, MD

Past

May 1, 2003 - December 19, 2003

M&T SECURITIES, INC.

BD

CRD#: 17358

BALTIMORE, MD

Past

August 16, 2002 - May 1, 2003

ALLFIRST BROKERAGE CORPORATION

BD

CRD#: 17531

BALTIMORE, MD

Past

January 13, 2001 - June 1, 2001

DEUTSCHE BANK SECURITIES INC.

BD

CRD#: 2525

NEW YORK, NY

Past

July 1, 1998 - January 13, 2001

DB ALEX. BROWN LLC

BD

CRD#: 17790

BALTIMORE, MD

Past

March 11, 1997 - October 10, 1997

HERBERT J. SIMS & CO, INC.

BD

CRD#: 3420

FAIRFIELD, CT

Past

November 25, 1996 - January 9, 1997

MERIT CAPITAL ASSOCIATES, INC.

BD

CRD#: 30576

WESTPORT, CT

Past

March 4, 1996 - September 13, 1996

AMERIPRISE ADVISOR SERVICES, INC.

BD

CRD#: 5979

DETROIT, MI

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

KI

KINETIC INVESTMENT MANAGEMENT, INC.

CRD#: 283034 / SEC#: 801-118383

RIA

Registered Investment Advisory firm - (4/8/2020 Approved)

California

Registered Investment Advisory firm - (5/16/2020 Terminated)

Illinois

Registered Investment Advisory firm - (4/8/2020 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

New Jersey
(1/3/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/12/2016

Uniform Investment Adviser Law Examination

State Security Law Exam

RR

Series 63

Date: 2/12/2011

Uniform Securities Agent State Law Examination

General Industry/Product Exam

RR

SIE

Date: 7/24/2018

Securities Industry Essentials Examination

General Industry/Product Exam

RR

Series 7

Date: 8/2/2006

General Securities Representative Examination

General Industry/Product Exam

RR

Series 52

Date: 3/1/1996

Municipal Securities Representative Examination

Current Firm

KI

KINETIC INVESTMENT MANAGEMENT, INC.

CRD#: 283034 / SEC#: 801-118383

RIA

Registered Investment Advisory firm - (4/8/2020 Approved)

California

Registered Investment Advisory firm - (5/16/2020 Terminated)

Illinois

Registered Investment Advisory firm - (4/8/2020 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

633 W 5th Street Suite 1050, Los Angeles, CA 90071

Mailing Address

Phone number

(800) 711-4818

Established

Firm type

Fiscal year end

# of Employees

30

SEC notice filing (25 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A-KINETIC INVESTMENT MANAGEMENT, INC. (9/10/2025)

Regulatory assets under management

Total Number of Accounts	2,857
AUM (Assets Under Management)	$ 348,218,341

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

James M. Foley

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Matthew Foley's CRS (Customer Relationship Summary).

Certified licenses

Experience

AE WEALTH MANAGEMENT, LLC

ELEVATED CAPITAL ADVISORS, LLC

AE WEALTH MANAGEMENT, LLC

QUESTAR ASSET MANAGEMENT, INC.

QUESTAR CAPITAL CORPORATION

CREATIVEONE WEALTH, LLC

AMERICAFIRST SECURITIES, INC.

AMERICAFIRST SECURITIES, INC.

ALPS DISTRIBUTORS, INC.

SIP NORDIC AMERICA LLC

MATRIX CAPITAL GROUP, INC.

LEADER CAPITAL CORP.

ADVISORS ASSET MANAGEMENT, INC.

M&T SECURITIES, INC.

M&T SECURITIES, INC.

ALLFIRST BROKERAGE CORPORATION

DEUTSCHE BANK SECURITIES INC.

DB ALEX. BROWN LLC

HERBERT J. SIMS & CO, INC.

MERIT CAPITAL ASSOCIATES, INC.

AMERIPRISE ADVISOR SERVICES, INC.

Primary Firm SEC Registration

KINETIC INVESTMENT MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 10/12/2016

Series 63

Date: 2/12/2011

SIE

Date: 7/24/2018

Series 7

Date: 8/2/2006

Series 52

Date: 3/1/1996

Current Firm

KINETIC INVESTMENT MANAGEMENT, INC.

Contact information

SEC notice filing (25 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

KINETIC INVESTMENT MANAGEMENT, INC.

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