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.
Registered advisor
James Ronald Lo Coco
Feed of 09/15/2026
At current firm
1 y
since Jun 5, 2025
In the industry
18 y
since Nov 13, 2007 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- LPL Financial LLC BD affiliated currentsince Jun 5, 2025 · Fort Mill, Sc
- Western International Securities formerNov 13, 2020 to Jun 5, 2025 · Pasadena, Ca
- Rjj Pasadena Securities, Inc. independent RIAOct 21, 2013 to Dec 11, 2020 · South Pasadena, Ca
- Morgan Stanley wirehouseJun 1, 2009 to Oct 28, 2013 · Los Angeles, Ca
- Citigroup Global Markets Inc. BD affiliatedJan 2, 2008 to Jun 1, 2009 · Los Angeles, Ca
Moves
a registration end followed by a registration begin elsewhere
- Western International Securities to LPL Financial LLCleft Jun 5, 2025, registered Jun 5, 2025 (0 days) · corporate re-registration, not a move
- Rjj Pasadena Securities, Inc. to Western International Securitiesleft Dec 11, 2020, registered Nov 13, 2020 (-28 days) · RIA to affiliated broker-dealer or bank · moved with a team
- Morgan Stanley to Rjj Pasadena Securities, Inc.left Oct 28, 2013, registered Oct 21, 2013 (-7 days) · Wirehouse to independent RIA
- Citigroup Global Markets Inc. to Morgan Stanleyleft Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address