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.
Advisor moves
Departures from Rjj Pasadena Securities, Inc.
A move is two dates on IAPD: the day a person’s registration through one firm ended and the day a registration through another began. The type reads the class of each firm. This is the movement tape the mobility research is validated against; it says what happened, never why, and never who is about to.
| Advisor | From | To | Type | Left | Registered |
|---|---|---|---|---|---|
| Ernest Bernard Arnold | Rjj Pasadena Securities, Inc. independent RIA | Western International Securities BD affiliated | RIA to affiliated broker-dealer or bank | Jul 7, 2021 | Jul 2, 2021 |
| Flavia Dolores Lo Coco | Rjj Pasadena Securities, Inc. independent RIA | Western International Securities BD affiliated | RIA to affiliated broker-dealer or bank | Dec 11, 2020 | Nov 13, 2020 |
| James Ronald Lo Coco | Rjj Pasadena Securities, Inc. independent RIA | Western International Securities BD affiliated | RIA to affiliated broker-dealer or bank | Dec 11, 2020 | Nov 13, 2020 |
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3 moves match.