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

P••••• S• O••

P••••••mixed wealthMooresville, Nc IA-onlyIAPD 5518315

Certified Financial Planner

Feed of 09/15/2026

Also filed as Sanket Oak

At current firm

1 y

since Jul 3, 2025

In the industry

18 y

since Apr 1, 2008 (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

P•••••• mixed wealth current
since Jul 3, 2025 · Mooresville, Nc
W•••••• C••••••• W••••• M••••••••• I••• former
May 23, 2021 to Jul 16, 2025 · Moorseville, Nc
A••••••••• F•••••••• S•••••••• L•• national BD
Jun 18, 2020 to Jan 12, 2021 · Middlebury, Ct
E•••••••• A•••••••• L•• national BD
Jan 15, 2009 to Aug 23, 2017 · Shelton, Ct

Moves

a registration end followed by a registration begin elsewhere

W•••••• C••••••• W••••• M••••••••• I••• to P••••••
left Jul 16, 2025, registered Jul 3, 2025 (-13 days) · RIA to RIA
A••••••••• F•••••••• S•••••••• L•• to W•••••• C••••••• W••••• M••••••••• I•••
left Jan 12, 2021, registered May 23, 2021 (131 days) · Affiliated broker-dealer or bank to independent RIA
E•••••••• A•••••••• L•• to A••••••••• F•••••••• S•••••••• L••
left Aug 23, 2017, registered Jun 18, 2020 (1030 days) · Affiliated broker-dealer or bank to another

Signals

P••••• S• O•• left W•••••• C••••••• W••••• M••••••••• I••• for Procyon (registered 2025-07-03)
Jul 16, 2025 · 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: Wealth manager with institutional or fund businessderived
Years in industry: 18derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address