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

A•••• O••••

L•• E••••••••• L••BD affiliatedBrooklyn, Nydual registrantIAPD 4439951

Certified Financial Planner

Feed of 09/14/2026

Also filed as A•••• Bernard O••••

At current firm

1 y

since Nov 14, 2024

In the industry

23 y

since Apr 19, 2003 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

L•• E••••••••• L•• BD affiliated current
since Nov 14, 2024 · Brooklyn, Ny
P•••• S••••••••• L•• no RAUM
Aug 15, 2023 to Nov 14, 2024 · Brooklyn, Ny
N••••••••• M••••• I••••••••• S••••••••• no RAUM
Mar 20, 2023 to Aug 16, 2023 · New York, Ny
C•••••• A••••••• S•••••••• I•• independent RIA
Sep 30, 2021 to Mar 28, 2022 · Staten Island, Ny
A••••• A•• P••••••• S••••••• BD affiliated
Dec 17, 2015 to Oct 10, 2019 · New York, Ny
E•••••• F•••••••• S•••••••• L•• former
May 13, 2015 to Aug 12, 2015 · Staten Island, Ny
U••• F•••••••• P••••••• S••••••• former
May 4, 2011 to Mar 30, 2015 · New York, Ny
C•••• I••••••••• S••••••• C•••• former
May 16, 2007 to Apr 8, 2011 · Brooklyn, Ny
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Apr 22, 2003 to May 3, 2006 · Pennington, Nj

Moves

a registration end followed by a registration begin elsewhere

P•••• S••••••••• L•• to L•• E••••••••• L••
left Nov 14, 2024, registered Nov 14, 2024 (0 days) · corporate re-registration, not a move
N••••••••• M••••• I••••••••• S••••••••• to P•••• S••••••••• L••
left Aug 16, 2023, registered Aug 15, 2023 (-1 days) · Other
C•••••• A••••••• S•••••••• I•• to N••••••••• M••••• I••••••••• S•••••••••
left Mar 28, 2022, registered Mar 20, 2023 (357 days) · Other
A••••• A•• P••••••• S••••••• to C•••••• A••••••• S•••••••• I••
left Oct 10, 2019, registered Sep 30, 2021 (721 days) · Affiliated broker-dealer or bank to independent RIA
E•••••• F•••••••• S•••••••• L•• to A••••• A•• P••••••• S•••••••
left Aug 12, 2015, registered Dec 17, 2015 (127 days) · Other
U••• F•••••••• P••••••• S••••••• to E•••••• F•••••••• S•••••••• L••
left Mar 30, 2015, registered May 13, 2015 (44 days) · Other
C•••• I••••••••• S••••••• C•••• to U••• F•••••••• P••••••• S•••••••
left Apr 8, 2011, registered May 4, 2011 (26 days) · Other
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••• I••••••••• S••••••• C••••
left May 3, 2006, registered May 16, 2007 (378 days) · Other

Signals

A•••• O•••• left N••••••••• M••••• I••••••••• S••••••••• for P•••• S••••••••• L•• (registered 2023-08-15)
Aug 16, 2023 · Advisor changed firm · fact
A•••• O•••• left C•••••• A••••••• S•••••••• I•• for N••••••••• M••••• I••••••••• S••••••••• (registered 2023-03-20)
Mar 28, 2022 · 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: 23derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address