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
John Arthur O'Connor
Feed of 09/14/2026
Also filed as John Arthur Oconnor
At current firm
2 y
since Dec 12, 2023
In the industry
43 y
since Apr 6, 1983 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Freedom Investment Management, Inc. independent RIA currentsince Dec 12, 2023 · South Windsor, Ct
- 3d/L Capital Management, LLC formerApr 8, 2021 to Dec 31, 2023 · Hartford, Ct
- 3d Asset Management, Inc. formerSep 21, 2016 to Mar 31, 2021 · Hartford, Ct
- 3d Asset Management, Inc. formerMar 1, 2006 to May 5, 2016 · East Hartford, Ct
- Usi Advisors institutionalJan 2, 2001 to May 9, 2006 · Glastonbury, Ct
- Usi Securities, Inc. no RAUMJun 1, 1999 to May 9, 2006 · Atlanta, Ga
Moves
a registration end followed by a registration begin elsewhere
- 3d/L Capital Management, LLC to Freedom Investment Management, Inc.left Dec 31, 2023, registered Dec 12, 2023 (-19 days) · channel change inside one enterprise, not a move · moved with a team
- 3d Asset Management, Inc. to 3d/L Capital Management, LLCleft Mar 31, 2021, registered Apr 8, 2021 (8 days) · RIA to RIA · moved with a team
- Usi Advisors to 3d Asset Management, Inc.left May 9, 2006, registered Mar 1, 2006 (-69 days) · Other
- Usi Securities, Inc. to Usi Advisorsleft May 9, 2006, registered Jan 2, 2001 (-1953 days) · Other
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
- Independent wealth managerderived
- Years in industry
- 43derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address