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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Registered advisor

K•••• M• O••••••

W••••• E••••••••• A••••••• S•••••••• L••BD affiliatedNorthborough, Ma dual registrantIAPD 1866397

Certified Financial Planner

Feed of 09/14/2026

Also filed as K•••• Michael Obrien

At current firm

2 y

since Jul 9, 2024

In the industry

37 y

since Oct 3, 1988 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

W••••• E••••••••• A••••••• S•••••••• L•• BD affiliated current
since Jul 9, 2024 · Plymouth, Mn
P••• F•••••••• S•••••••• I••• former
Feb 2, 2016 to Oct 17, 2024 · Northborough, Ma
P••• F•••••••• S•••••••• I••• unclassified
Mar 7, 2005 to Oct 18, 2010 · Northboro, Ma
C••••••••• F•••••••• N•••••• national BD
Jan 4, 2001 to Apr 29, 2016 · Northboro, Ma

Moves

a registration end followed by a registration begin elsewhere

P••• F•••••••• S•••••••• I••• to W••••• E••••••••• A••••••• S•••••••• L••
left Oct 17, 2024, registered Jul 9, 2024 (-100 days) · RIA to affiliated broker-dealer or bank
C••••••••• F•••••••• N•••••• to P••• F•••••••• S•••••••• I•••
left Apr 29, 2016, registered Mar 7, 2005 (-4071 days) · Other
P••• F•••••••• S•••••••• I••• to P••• F•••••••• S•••••••• I•••
left Oct 18, 2010, registered Feb 2, 2016 (1933 days) · Other

Signals

K•••• M• O•••••• left P••• F•••••••• S•••••••• I••• for W••••• E••••••••• A••••••• S•••••••• L•• (registered 2024-07-09)
Oct 17, 2024 · Advisor changed firm · fact

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: 37derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address