James M. Rafeld

ALERA INVESTMENT ADVISORS

Easton, MA

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CRD#: 5128598

Professional summary

James Matthew Rafeld MR., who also goes by James Matthew Rafeld, is a registered financial advisor currently at ALERA INVESTMENT ADVISORS, LLC located in Easton, Massachusetts.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2006. James has worked at 3 firms and has passed the Series 63, Series 65 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

James Matthew Rafeld

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. American Legion, Post 7; non-investment related; Easton, Massachusetts; officer/director; start date 9.21.2021; unpaid role with local American Legion post.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Matthew Rafeld MR.'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

October 29, 2024 - Present

ALERA INVESTMENT ADVISORS, LLC

RIA

CRD#: 287906

Easton, MA

Past

April 16, 2012 - February 27, 2023

EDELMAN FINANCIAL ENGINES

RIA

CRD#: 104510

North Easton, MA

Past

May 25, 2006 - August 17, 2011

VOYA RETIREMENT ADVISORS, LLC

CRD#: 3989

BRAINTREE, MA

Past

April 17, 2006 - August 17, 2011

VOYA RETIREMENT ADVISORS, LLC

RIA

CRD#: 3989

BRAINTREE, MA

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".

ALERA INVESTMENT ADVISORS, LLC

CRD#: 287906 / SEC#: 801-111892

RIA

Registered Investment Advisory firm - (10/26/2017 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
(10/29/2024)

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

Series 63

Date: 6/9/2006

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 6/5/2006

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 6

Date: 5/24/2006

Investment Company Products/Variable Contracts Representative Examination

Current Firm

ALERA INVESTMENT ADVISORS, LLC

CRD#: 287906 / SEC#: 801-111892

RIA

Registered Investment Advisory firm - (10/26/2017 Approved)

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Contact information

Main Address

Three Parkway North Suite 500, Deerfield, IL 60015-2567

Mailing Address

Phone number

(847) 457-3000

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (40 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV 2A (5/1/2025)

Regulatory assets under management

Total Number of Accounts	3,097
AUM (Assets Under Management)	$ 3,572,112,624

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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James M. Rafeld

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

ALERA INVESTMENT ADVISORS, LLC

EDELMAN FINANCIAL ENGINES

VOYA RETIREMENT ADVISORS, LLC

VOYA RETIREMENT ADVISORS, LLC

Primary Firm SEC Registration

ALERA INVESTMENT ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 6/9/2006

Series 65

Date: 6/5/2006

Series 6

Date: 5/24/2006

Current Firm

ALERA INVESTMENT ADVISORS, LLC

Contact information

SEC notice filing (40 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ALERA INVESTMENT ADVISORS, LLC

TRUST BUT VERIFY

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