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

P•••••• C••• O•••••

E• W••••• A•••••••independent RIASan Luis Obispo, Ca IA-onlyIAPD 2446216

Certified Financial Planner

Feed of 09/15/2026

Also filed as P•••••• C••• Ohara

At current firm

1 y

since Jan 1, 2025

In the industry

32 y

since Jan 31, 1994 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

E• W••••• A••••••• independent RIA current
since Jan 1, 2025 · Torrance, Ca
W••••• W••••• P•••••••• L•• former
Jan 24, 2008 to Apr 30, 2024 · San Luis Obispo, Ca
R•• I••• unclassified
Nov 2, 2006 to Feb 5, 2008 · San Luis Obispo, Ca
U•••• F•••••••• S••••••• G••••• I••• unclassified
Nov 4, 2004 to Sep 29, 2006 · Paso Robles, Ca
W•••• F•••• I••••••••• L•• unclassified
Mar 31, 2003 to Nov 8, 2004 · San Luis Obispo, Ca
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Jul 8, 1997 to Mar 24, 2003 · Torrance, Ca

Moves

a registration end followed by a registration begin elsewhere

W••••• W••••• P•••••••• L•• to E• W••••• A•••••••
left Apr 30, 2024, registered Jan 1, 2025 (246 days) · RIA to RIA · moved with a team
R•• I••• to W••••• W••••• P•••••••• L••
left Feb 5, 2008, registered Jan 24, 2008 (-12 days) · Other
U•••• F•••••••• S••••••• G••••• I••• to R•• I•••
left Sep 29, 2006, registered Nov 2, 2006 (34 days) · Other
W•••• F•••• I••••••••• L•• to U•••• F•••••••• S••••••• G••••• I•••
left Nov 8, 2004, registered Nov 4, 2004 (-4 days) · Other
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• I••••••••• L••
left Mar 24, 2003, registered Mar 31, 2003 (7 days) · Other

Signals

P•••••• C••• O••••• left W••••• W••••• P•••••••• L•• for E• W••••• A••••••• (registered 2025-01-01)
Apr 30, 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: Independent wealth managerderived
Years in industry: 32derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address