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
Arrivals at Ofg Financial Services, 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 |
|---|---|---|---|---|---|
| Larae Ann Duff | J.P. Morgan Securities LLC wirehouse | Ofg Financial Services, Inc. independent RIA | Wirehouse to independent RIA | Feb 11, 2025 | Aug 18, 2025 (188 d) |
| Jonathan Bernard Gatz | Osaic Wealth, Inc. BD affiliated | Ofg Financial Services, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 5, 2019 | Aug 1, 2019 |
| Alex B Perez | Securian Financial Services, Inc. other | Ofg Financial Services, Inc. independent RIA | Other | May 18, 2010 | Jul 21, 2010 (64 d) |
| Charles Hal Kooken | Pruco Securities, LLC other | Ofg Financial Services, Inc. independent RIA | Other | Mar 3, 2009 | Mar 16, 2009 |
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4 moves match.