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.
Registered advisor
Erin Kathleen O'Brien
Feed of 09/15/2026
Also filed as Erin Kathleen O'Brien
At current firm
3 y
since Nov 9, 2022
In the industry
19 y
since Jun 16, 2007 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- Ameriprise Financial Services, LLC national BD currentsince Nov 9, 2022 · Leawood, Ks
- Waterfront Wealth Inc. independent RIAJun 14, 2022 to Nov 8, 2022 · Overland Park, Ks
- Wells Fargo Advisors wirehouseNov 16, 2016 to Oct 5, 2020 · Leawood, Ks
- Commonwealth Financial Network national BDApr 9, 2014 to Oct 5, 2016 · Overland Park, Ks
- Jhs Capital Advisors, LLC formerJun 11, 2012 to Feb 20, 2014 · Artesia, Nm
- RBC Capital Markets, LLC national BDJun 18, 2007 to May 18, 2012 · Leawood, Ks
Moves
a registration end followed by a registration begin elsewhere
- Waterfront Wealth Inc. to Ameriprise Financial Services, LLCleft Nov 8, 2022, registered Nov 9, 2022 (1 days) · RIA to affiliated broker-dealer or bank
- Wells Fargo Advisors to Waterfront Wealth Inc.left Oct 5, 2020, registered Jun 14, 2022 (617 days) · Wirehouse to independent RIA · moved with a team
- Commonwealth Financial Network to Wells Fargo Advisorsleft Oct 5, 2016, registered Nov 16, 2016 (42 days) · Affiliated broker-dealer or bank to wirehouse
- Jhs Capital Advisors, LLC to Commonwealth Financial Networkleft Feb 20, 2014, registered Apr 9, 2014 (48 days) · Other
- RBC Capital Markets, LLC to Jhs Capital Advisors, LLCleft May 18, 2012, registered Jun 11, 2012 (24 days) · Other
Signals
- Erin Kathleen O'Brien left Waterfront Wealth Inc. for Ameriprise Financial Services, Llc (registered 2022-11-09)Nov 8, 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
- National broker-dealer RIAderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address