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

M•••••• J••• O••••••

C••••••• P•••••••• I•••independent RIASanta Rosa, Ca IA-onlyIAPD 3104084

Feed of 09/14/2026

Also filed as Mike O'Connor

At current firm

1 y

since Jan 1, 2025

In the industry

28 y

since Sep 8, 1998 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63, S66

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

Title: VP, Wealth Advisorreportedcompoundplanning.comfirm site, Sep 15, 2026
Years, as the firm states: 20reportedcompoundplanning.com“Mike is an experienced Financial Advisor with over 20 years experience in Wealth Management.”
Professional profile: compoundplanning.com/company/team/mike-oconnorreportedcompoundplanning.comfirm site, Sep 15, 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

C••••••• P•••••••• I••• independent RIA current
since Jan 1, 2025 · Santa Rosa, Ca
C••••••••• independent RIA
Jun 22, 2022 to Feb 21, 2024 · Walnut Creek, Ca
A•••••• P•••••••• L•• former
Dec 19, 2019 to Dec 31, 2020 · Walnut Creek, Ca
A••••••• W••••• independent RIA
May 5, 2010 to Oct 10, 2019 · Mill Valley, Ca
A••••••••• I••• BD affiliated
Mar 13, 2009 to Mar 23, 2010 · Concord, Ca
M•• A•••••••• A• D••••••• O• F•••••••• M••• L•• asset manager
Oct 15, 2002 to Jun 27, 2003 · San Francisco, Ca

Moves

a registration end followed by a registration begin elsewhere

C••••••••• to C••••••• P•••••••• I•••
left Feb 21, 2024, registered Jan 1, 2025 (315 days) · RIA to RIA
A•••••• P•••••••• L•• to C•••••••••
left Dec 31, 2020, registered Jun 22, 2022 (538 days) · RIA to a newly registered adviser
A••••••• W••••• to A•••••• P•••••••• L••
left Oct 10, 2019, registered Dec 19, 2019 (70 days) · RIA to RIA
A••••••••• I••• to A••••••• W•••••
left Mar 23, 2010, registered May 5, 2010 (43 days) · Other
M•• A•••••••• A• D••••••• O• F•••••••• M••• L•• to A••••••••• I•••
left Jun 27, 2003, registered Mar 13, 2009 (2086 days) · Other

Signals

M•••••• J••• O•••••• left Concentric for C••••••• P•••••••• I••• (registered 2025-01-01)
Feb 21, 2024 · a•••••• firm change · 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: 28derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address