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 Joy Oh
At current firm
4 y
since Mar 15, 2022
In the industry
13 y
since Oct 26, 2012 (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
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- Mariner BD affiliated currentsince Mar 15, 2022 · Ookala, Hi
- Adviceperiod, LLC formerAug 17, 2017 to Mar 30, 2022 · Los Angeles, Ca
- Cetera Advisor Networks LLC formerMar 10, 2015 to Jul 24, 2017 · Long Beach, Ca
- Planmember Securities Corporation independent RIAMar 5, 2014 to Feb 11, 2015 · Carpinteria, Ca
- Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseJul 22, 2013 to Oct 28, 2013 · West Los Angeles, Ca
- Equitable Advisors, LLC national BDNov 8, 2012 to Jul 22, 2013 · Los Angeles, Ca
Moves
a registration end followed by a registration begin elsewhere
- Adviceperiod, LLC to Marinerleft Mar 30, 2022, registered Mar 15, 2022 (-15 days) · RIA to affiliated broker-dealer or bank · moved with a team
- Cetera Advisor Networks LLC to Adviceperiod, LLCleft Jul 24, 2017, registered Aug 17, 2017 (24 days) · Other
- Planmember Securities Corporation to Cetera Advisor Networks LLCleft Feb 11, 2015, registered Mar 10, 2015 (27 days) · Other
- Merrill Lynch, Pierce, Fenner & Smith Incorporated to Planmember Securities Corporationleft Oct 28, 2013, registered Mar 5, 2014 (128 days) · Other
- Equitable Advisors, LLC to Merrill Lynch, Pierce, Fenner & Smith Incorporatedleft Jul 22, 2013, registered Jul 22, 2013 (0 days) · Affiliated broker-dealer or bank to wirehouse
Signals
- Joy Soon Oh left Adviceperiod, Llc for Mariner (registered 2022-03-15)Mar 30, 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
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address