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.
Feed of 09/14/2026
Also filed as Sean Patrick Oconnor
At current firm
3 y
since Mar 7, 2023
In the industry
16 y
since Apr 26, 2010 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Corient independent RIA currentsince Mar 7, 2023 · Morristown, Nj
- Columbia Pacific Wealth Management formerMar 2, 2021 to Aug 31, 2023 · Franklin Lakes, Nj
- Lido independent RIASep 27, 2018 to Nov 17, 2020 · New York, Ny
- Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseMar 30, 2015 to Sep 20, 2018 · Florham Park, Nj
Moves
a registration end followed by a registration begin elsewhere
- Columbia Pacific Wealth Management to Corientleft Aug 31, 2023, registered Mar 7, 2023 (-177 days) · corporate re-registration, not a move
- Lido to Columbia Pacific Wealth Managementleft Nov 17, 2020, registered Mar 2, 2021 (105 days) · RIA to RIA
- Merrill Lynch, Pierce, Fenner & Smith Incorporated to Lidoleft Sep 20, 2018, registered Sep 27, 2018 (7 days) · Wirehouse to independent RIA
Signals
No dated event on this person.
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
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address