James R. Moise

LITTLE HOUSE CAPITAL

Braintree, MA 02184

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CRD#: 4969885

Professional summary

James Reginald Moise is a registered financial advisor currently at LITTLE HOUSE CAPITAL, LLC located in Braintree, Massachusetts.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. James has worked at 4 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Reginald Moise'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

July 9, 2021 - Present

LITTLE HOUSE CAPITAL, LLC

Office #1: 35 Braintree Hill Park #100, Braintree, MA 02184

RIA

CRD#: 290070

Braintree, MA

Past

October 23, 2009 - August 13, 2010

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

WALTHAM, MA

Past

June 30, 2006 - October 23, 2009

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

WALTHAM, MA

Past

October 4, 2005 - April 24, 2006

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

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".

LITTLE HOUSE CAPITAL, LLC

BLUEDOOR PRIVATE WEALTH, LLC | LITTLE HOUSE CAPITAL, LLC

CRD#: 290070 / SEC#: 801-111981

RIA

Registered Investment Advisory firm - (11/2/2017 Approved)

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

Massachusetts
(7/9/2021)

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: 6/19/2021

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/18/2005

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 9/30/2005

General Securities Representative Examination

Current Firm

LITTLE HOUSE CAPITAL, LLC

BLUEDOOR PRIVATE WEALTH, LLC | LITTLE HOUSE CAPITAL, LLC

CRD#: 290070 / SEC#: 801-111981

RIA

Registered Investment Advisory firm - (11/2/2017 Approved)

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Contact information

Main Address

35 Braintree Hill Park #100, Braintree, MA 02184

Mailing Address

Phone number

(617) 545-5600

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (13 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

LHC PART 2A 3/27/2019 (4/28/2025)

Regulatory assets under management

Total Number of Accounts	722
AUM (Assets Under Management)	$ 601,441,128

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
08/13/2025	Cover Page	Report
12/17/2024	Cover Page	Report
08/10/2023	Cover Page	Report
12/13/2022	Cover Page	Report

Red Flags

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

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James R. Moise

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Reginald Moise's CRS (Customer Relationship Summary).

Certified licenses

Experience

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BANC OF AMERICA INVESTMENT SERVICES, INC.

J.P. MORGAN SECURITIES LLC

Primary Firm SEC Registration

LITTLE HOUSE CAPITAL, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/19/2021

Series 63

Date: 10/18/2005

Series 7

Date: 9/30/2005

Current Firm

LITTLE HOUSE CAPITAL, LLC

Contact information

SEC notice filing (13 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

LITTLE HOUSE CAPITAL, LLC

TRUST BUT VERIFY

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