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
Sean Francis Oflaherty
Feed of 09/15/2026
At current firm
11 y
since Jun 15, 2015
In the industry
35 y
since Jul 30, 1991 (earliest exam, job or registration)
Prior registered firms
6
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- World Investment Advisors, LLC other currentsince Jun 15, 2015 · Lincroft, Nj
- Independent Financial Partners BD affiliatedJan 24, 2011 to Jul 10, 2015 · Eagle, Id
- LPL Financial LLC BD affiliatedAug 16, 2010 to May 6, 2011 · Eagle, Id
- Osaic Wealth, Inc. BD affiliatedOct 17, 2007 to Jun 8, 2010 · Woodland Hills, Ca
- Partnervest Advisory Services LLC formerOct 2, 2006 to Sep 17, 2007 · Santa Barbara, Ca
- Financial West Group formerNov 21, 2003 to Oct 2, 2006 · Thousand Oaks, Ca
- Commonwealth Financial Network national BDApr 12, 2001 to Nov 17, 2003 · Newbury Park, Ca
Moves
a registration end followed by a registration begin elsewhere
- Independent Financial Partners to World Investment Advisors, LLCleft Jul 10, 2015, registered Jun 15, 2015 (-25 days) · Other
- LPL Financial LLC to Independent Financial Partnersleft May 6, 2011, registered Jan 24, 2011 (-102 days) · Other
- Osaic Wealth, Inc. to LPL Financial LLCleft Jun 8, 2010, registered Aug 16, 2010 (69 days) · Other
- Partnervest Advisory Services LLC to Osaic Wealth, Inc.left Sep 17, 2007, registered Oct 17, 2007 (30 days) · Other
- Financial West Group to Partnervest Advisory Services LLCleft Oct 2, 2006, registered Oct 2, 2006 (0 days) · Other
- Commonwealth Financial Network to Financial West Groupleft Nov 17, 2003, registered Nov 21, 2003 (4 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
- Other adviserderived
- Years in industry
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address