RILEY JOHN JAMES appears across SEC filings — Form ADV advisers, Form D, Reg A, and crowdfunding offerings. RILEY JOHN JAMES appears on 5 filing roles across Form ADV (5).
| Filed | Source | Entity | Role | Location |
|---|---|---|---|---|
| — | Form ADV | BOK FINANCIAL PRIVATE WEALTH, INC. | CHIEF COMPLIANCE OFFICER AND CHIEF OPERATIONS OFFICER | DENVER, CO |
| — | Form ADV | TRANSFORM WEALTH, LLC. | CHIEF COMPLIANCE OFFICER | GREENWOOD VILLAGE, CO |
| — | Form ADV | CORNERSTONE INVESTMENT SERVICES | DIRECT OWNER, OPERATING MANAGER & CHIEF COMPLIANCE OFFICER | PROVIDENCE, RI |
| — | Form ADV | CRISTATA INVESTMENT MANAGEMENT | CHIEF COMPLIANCE OFFICER | — |
| — | Form ADV | EAST LODGE CAPITAL PARTNERS LLP | PORTFOLIO MANAGER, PARTNER | LONDON |