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•••• M•••••• O••••••

L•• F•••••••• L••BD affiliatedFort Mill, Sc dual registrantIAPD 6365516

Feed of 09/15/2026

Also filed as Shawn Michael Obrien

At current firm

0 y

since Oct 3, 2025

In the industry

12 y

since Jun 1, 2014 (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

L•• F•••••••• L•• BD affiliated current
since Oct 3, 2025 · Fort Mill, Sc
W•••• F•••• A••••••• wirehouse
Aug 16, 2023 to Sep 22, 2025 · Charlotte, Nc
M••••• O• O•••• I••••••• S•••••••• I••• independent RIA
Apr 8, 2021 to Jun 2, 2022 · Charlotte, Nc
W•••• F•••• A••••••• wirehouse
Sep 9, 2014 to Mar 25, 2021 · Charlotte, Nc

Moves

a registration end followed by a registration begin elsewhere

W•••• F•••• A••••••• to L•• F•••••••• L••
left Sep 22, 2025, registered Oct 3, 2025 (11 days) · Wirehouse to affiliated broker-dealer or bank
M••••• O• O•••• I••••••• S•••••••• I••• to W•••• F•••• A•••••••
left Jun 2, 2022, registered Aug 16, 2023 (440 days) · RIA to wirehouse
W•••• F•••• A••••••• to M••••• O• O•••• I••••••• S•••••••• I•••
left Mar 25, 2021, registered Apr 8, 2021 (14 days) · Other

Signals

S•••• M•••••• O•••••• left W•••• F•••• A••••••• for L•• F•••••••• L•• (registered 2025-10-03)
Sep 22, 2025 · Advisor changed firm · fact
S•••• M•••••• O•••••• left M••••• O• O•••• I••••••• S•••••••• I••• for W•••• F•••• A••••••• (registered 2023-08-16)
Jun 2, 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: 12derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address