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
Joseph O'Connor
Feed of 09/15/2026
Also filed as Joseph Robert Oconnor
At current firm
5 y
since Feb 22, 2021
In the industry
42 y
since Dec 14, 1983 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
7
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
- Pinnacle Investments, LLC BD affiliated currentsince Feb 22, 2021 · Syracuse, Ny
- Edward Jones national BDApr 18, 2017 to Dec 7, 2020 · Bethesda, Md
- Truist Advisory Services, Inc. BD affiliatedSep 16, 2016 to Apr 20, 2017 · Washington, Dc
- Suntrust Investment Services, Inc. formerAug 31, 2015 to Dec 31, 2016 · Washington, Dc
- Pnc Wealth Management BD affiliatedDec 19, 2013 to Aug 11, 2015 · Washington, Dc
- RBC Capital Markets, LLC national BDJun 20, 2005 to Aug 19, 2009 · Syracuse, Ny
Moves
a registration end followed by a registration begin elsewhere
- Edward Jones to Pinnacle Investments, LLCleft Dec 7, 2020, registered Feb 22, 2021 (77 days) · Affiliated broker-dealer or bank to independent RIA
- Truist Advisory Services, Inc. to Edward Jonesleft Apr 20, 2017, registered Apr 18, 2017 (-2 days) · Other
- Suntrust Investment Services, Inc. to Truist Advisory Services, Inc.left Dec 31, 2016, registered Sep 16, 2016 (-106 days) · corporate re-registration, not a move
- Pnc Wealth Management to Suntrust Investment Services, Inc.left Aug 11, 2015, registered Aug 31, 2015 (20 days) · Other
- RBC Capital Markets, LLC to Pnc Wealth Managementleft Aug 19, 2009, registered Dec 19, 2013 (1583 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 42derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address