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••••••• S•• O••••••

W••••• T••••••••• L••state registeredCincinnati, OhIA-onlyIAPD 2340429

Feed of 09/14/2026

Also filed as Kristy S. O••••••

At current firm

10 y

since Oct 28, 2015

In the industry

30 y

since Jul 1, 1996 (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

Professional profile

what the firm itself publishes, with the page it was read from

Professional profile: LINKEDIN.COM/IN/KRISTY-S-O-BRIEN-AB122043reportedadviserinfo.sec.govForm ADV Item 1.I, Sep 14, 2026

Only business contact points the firm published under its own name are shown; nothing is inferred, and personal accounts are never read. What the bio page says is printed as the firm printed it, with the sentence it came from; years are the firm’s claim, not a count of registrations.

Registration history

IAPD current and previous registrations

W••••• T••••••••• L•• state r••••••••• current
since Oct 28, 2015 · Cincinnati, Oh
C••• C•••••• M••••••••• L••• independent RIA
Sep 12, 2014 to Oct 2, 2015 · Cincinnati, Oh
H•••••• R••••••••• I••••••••• A•••••• I•• former
Apr 24, 2007 to Nov 21, 2011 · Columbus, Oh
O•••• F•• I••• former
Oct 25, 2002 to Feb 3, 2005 · Cincinnati, Oh

Moves

a registration end followed by a registration begin elsewhere

C••• C•••••• M••••••••• L••• to W••••• T••••••••• L••
left Oct 2, 2015, registered Oct 28, 2015 (26 days) · RIA to a state-registered adviser
H•••••• R••••••••• I••••••••• A•••••• I•• to C••• C•••••• M••••••••• L•••
left Nov 21, 2011, registered Sep 12, 2014 (1026 days) · Other
O•••• F•• I••• to H•••••• R••••••••• I••••••••• A•••••• I••
left Feb 3, 2005, registered Apr 24, 2007 (810 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: STATE REGISTEREDderived
Years in industry: 30derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address