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

Benedict O. Obaze

J.P. Morgan Securities LLCwirehouseNew York, Ny dual registrantIAPD 6985758

Feed of 09/15/2026

Also filed as Benedict Obaze

At current firm

2 y

since Dec 6, 2023

In the industry

12 y

since Aug 1, 2014 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

J.P. Morgan Securities LLC wirehouse current
since Dec 6, 2023 · New York, Ny
Alliancebernstein L.P. other
Dec 11, 2021 to Oct 13, 2023 · New York, Ny
Sei Investments Management Corp mixed wealth
Sep 4, 2019 to Jun 28, 2021 · Oaks, Pa
Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse
Oct 10, 2018 to Sep 3, 2019 · Pennington, Nj

Moves

a registration end followed by a registration begin elsewhere

Alliancebernstein L.P. to J.P. Morgan Securities LLC
left Oct 13, 2023, registered Dec 6, 2023 (54 days) · Other
Sei Investments Management Corp to Alliancebernstein L.P.
left Jun 28, 2021, registered Dec 11, 2021 (166 days) · Other
Merrill Lynch, Pierce, Fenner & Smith Incorporated to Sei Investments Management Corp
left Sep 3, 2019, registered Sep 4, 2019 (1 days) · Other

Signals

Benedict O. Obaze left Alliancebernstein L.P. for J.P. Morgan Securities Llc (registered 2023-12-06)
Oct 13, 2023 · Advisor changed firm · fact

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: Wirehousederived
Years in industry: 12derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address