James F. Relyea

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CRD#: 818270

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

James Frederick Relyea, CFP®, who also goes by James F Relyea, was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 1976. James had worked at 5 firms and has passed the Series 63, Series 7 and Series 1 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

James F Relyea

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)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

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

CFP^®

Certified Financial Planner

Start date: 1992

Experience

Past

April 25, 2000 - January 21, 2016

RZH ADVISORS LLC

RIA

CRD#: 125696

STAMFORD, CT

Past

March 1, 2000 - May 28, 2010

COMMONWEALTH FINANCIAL NETWORK

RIA

CRD#: 8032

STAMFORD, CT

Past

January 5, 1993 - May 28, 2010

COMMONWEALTH FINANCIAL NETWORK

CRD#: 8032

STAMFORD, CT

Past

January 20, 1988 - April 20, 1990

MML INVESTORS SERVICES, LLC

CRD#: 10409

SPRINGFIELD, MA

Past

June 16, 1987 - January 1, 1993

SUMMIT EQUITIES, INC.

CRD#: 11039

PARSIPPANY, NJ

Past

May 9, 1985 - June 27, 1987

LINCOLN FINANCIAL DISTRIBUTORS, INC.

CRD#: 145

Past

February 18, 1976 - May 29, 1984

LINCOLN FINANCIAL DISTRIBUTORS, INC.

CRD#: 145

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".

RZH ADVISORS LLC

RELYEA ZUCKERBERG HANSON, LLC | RZH ADVISORS LLC

CRD#: 125696 / SEC#: 801-71454

RIA

Registered Investment Advisory firm - (5/17/2010 Approved)

Connecticut

Registered Investment Advisory firm - (5/18/2010 Terminated)

New York

Registered Investment Advisory firm - (5/18/2010 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.

Visual representation of state registrations

This advisor is not registered in any state.

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: 1/19/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 12/11/1992

General Securities Representative Examination

General Industry/Product Exam

Series 1

Date: 2/12/1976

Registered Representative Examination

Current Firm

RZH ADVISORS LLC

RELYEA ZUCKERBERG HANSON, LLC | RZH ADVISORS LLC

CRD#: 125696 / SEC#: 801-71454

RIA

Registered Investment Advisory firm - (5/17/2010 Approved)

Connecticut

Registered Investment Advisory firm - (5/18/2010 Terminated)

New York

Registered Investment Advisory firm - (5/18/2010 Terminated)

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Contact information

Main Address

One Landmark Square 11th Floor, Stamford, CT 06901

Mailing Address

Phone number

(203) 355-0880

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (14 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A (1/30/2026)

Regulatory assets under management

Total Number of Accounts	1,698
AUM (Assets Under Management)	$ 2,448,559,106

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/22/2025	Cover Page	Report
10/22/2025	Cover Page	Report
11/13/2024	Cover Page	Report
10/04/2023	Cover Page	Report

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 F. Relyea

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

COMMONWEALTH FINANCIAL NETWORK

COMMONWEALTH FINANCIAL NETWORK

MML INVESTORS SERVICES, LLC

SUMMIT EQUITIES, INC.

LINCOLN FINANCIAL DISTRIBUTORS, INC.

LINCOLN FINANCIAL DISTRIBUTORS, INC.

Primary Firm SEC Registration

RZH ADVISORS LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 1/19/1996

Series 7

Date: 12/11/1992

Series 1

Date: 2/12/1976

Current Firm

RZH ADVISORS LLC

Contact information

SEC notice filing (14 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

RZH ADVISORS LLC

TRUST BUT VERIFY

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