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.

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Registered advisor

S•••••• E••••• O•••••••••

O•••• I••••••••• I•••BD affiliatedConcord, Nh dual registrantIAPD 2360651

Chartered Financial Consultant

Feed of 09/14/2026

Also filed as S•••••• E••••• Ocallaghan

At current firm

2 y

since Jul 15, 2024

In the industry

33 y

since Jul 15, 1993 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

O•••• I••••••••• I••• BD affiliated current
since Jul 15, 2024 · Hanover, Nh
C••••••• S••••••••• I••• BD affiliated
Apr 14, 2014 to Jul 15, 2024 · Manchester, Nh
S•••••••• S••••••••• BD affiliated
Sep 19, 2012 to Apr 16, 2014 · Wakefield, Ma
L•• F•••••••• L•• BD affiliated
May 27, 2008 to Sep 19, 2012 · Lynn, Ma
I••• S••••••••• I••• unclassified
May 4, 2005 to May 27, 2008 · Watertown, Ma
B••• O• A•••••• I••••••••• S•••••••• I••• unclassified
Oct 20, 2004 to May 4, 2005 · Framingham, Ma
Q•••• • R•••••• I••• unclassified
Jul 29, 2003 to Oct 20, 2004 · Framingham, Ma

Moves

a registration end followed by a registration begin elsewhere

C••••••• S••••••••• I••• to O•••• I••••••••• I•••
left Jul 15, 2024, registered Jul 15, 2024 (0 days) · Affiliated broker-dealer or bank to another
S•••••••• S••••••••• to C••••••• S••••••••• I•••
left Apr 16, 2014, registered Apr 14, 2014 (-2 days) · Other
L•• F•••••••• L•• to S•••••••• S•••••••••
left Sep 19, 2012, registered Sep 19, 2012 (0 days) · corporate re-registration, not a move
I••• S••••••••• I••• to L•• F•••••••• L••
left May 27, 2008, registered May 27, 2008 (0 days) · corporate re-registration, not a move
B••• O• A•••••• I••••••••• S•••••••• I••• to I••• S••••••••• I•••
left May 4, 2005, registered May 4, 2005 (0 days) · Other
Q•••• • R•••••• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••
left Oct 20, 2004, registered Oct 20, 2004 (0 days) · corporate re-registration, not a move

Signals

S•••••• E••••• O••••••••• left C••••••• S••••••••• I••• for O•••• I••••••••• I••• (registered 2024-07-15)
Jul 15, 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: 33derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address