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.

Registered advisor

Brian Shaw O'Connor

Merrill Lynch, Pierce, Fenner & Smith IncorporatedwirehouseAlbany, Ny dual registrantIAPD 6810340

Feed of 09/15/2026

Also filed as Brian Oconnor

At current firm

1 y

since Sep 8, 2025

In the industry

14 y

since Aug 1, 2012 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse current
since Sep 8, 2025 · Albany, Ny
Victory Capital Management Inc. asset manager
Aug 6, 2025 to Aug 14, 2025 · Boston, Ma
Amundi Asset Management US, Inc. former
Dec 15, 2020 to Apr 25, 2025 · Boston, Ma
Amundi Pioneer Institutional Asset Management, Inc. former
Mar 13, 2019 to Dec 31, 2020 · Boston, Ma

Moves

a registration end followed by a registration begin elsewhere

Victory Capital Management Inc. to Merrill Lynch, Pierce, Fenner & Smith Incorporated
left Aug 14, 2025, registered Sep 8, 2025 (25 days) · Other
Amundi Asset Management US, Inc. to Victory Capital Management Inc.
left Apr 25, 2025, registered Aug 6, 2025 (103 days) · corporate re-registration, not a move
Amundi Pioneer Institutional Asset Management, Inc. to Amundi Asset Management US, Inc.
left Dec 31, 2020, registered Dec 15, 2020 (-16 days) · corporate re-registration, not a move

Signals

Brian Shaw O'Connor left Victory Capital Management Inc. for Merrill Lynch, Pierce, Fenner & Smith Incorporated (registered 2025-09-08)
Aug 14, 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: Wirehousederived
Years in industry: 14derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address