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

S••• T••••• O••••••

A••••••••• F•••••••• S•••••••• L••national BDDaniel Island, Sc dual registrantIAPD 5909229

Feed of 09/14/2026

Also filed as Sean O'Keefe

At current firm

2 y

since Jun 20, 2024

In the industry

11 y

since May 1, 2015 (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

A••••••••• F•••••••• S•••••••• L•• national BD current
since Jun 20, 2024 · Daniel Island, Sc
N•••••••• W••••• M••••••••• G•••• independent RIA
Oct 3, 2023 to Jun 18, 2024 · Charleston, Sc
W•••• F•••• A••••••• wirehouse
Aug 19, 2021 to Oct 9, 2023 · Charleston, Sc
S••••••• F•••••••• S•••••••• I••• former
Dec 9, 2020 to Jul 19, 2021 · Daniel Island, Sc

Moves

a registration end followed by a registration begin elsewhere

N•••••••• W••••• M••••••••• G•••• to A••••••••• F•••••••• S•••••••• L••
left Jun 18, 2024, registered Jun 20, 2024 (2 days) · RIA to affiliated broker-dealer or bank
W•••• F•••• A••••••• to N•••••••• W••••• M••••••••• G••••
left Oct 9, 2023, registered Oct 3, 2023 (-6 days) · Wirehouse to a newly registered adviser (no RAUM reported yet) · moved with a team
S••••••• F•••••••• S•••••••• I••• to W•••• F•••• A•••••••
left Jul 19, 2021, registered Aug 19, 2021 (31 days) · Affiliated broker-dealer or bank to wirehouse

Signals

S••• T••••• O•••••• left N•••••••• W••••• M••••••••• G•••• for A••••••••• F•••••••• S•••••••• L•• (registered 2024-06-20)
Jun 18, 2024 · Advisor changed firm · fact
S••• T••••• O•••••• left W•••• F•••• A••••••• for N•••••••• W••••• M••••••••• G•••• (registered 2023-10-03)
Oct 9, 2023 · 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: 11derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address