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RIA / WealthAdvisordual registered (broker-dealer)19 years in industry

Christopher C Garvin

Advisor at NOMURA INVESTMENT MANAGEMENT BUSINESS TRUST

PHILADELPHIA, PA

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Search this name across graphsid dfx:ria:21b5d2ea-4d82-b0f3-4c92-116ffda49000

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 3:04 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jun 20, 2011 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: NOMURA INVESTMENT MANAGEMENT BUSINESS TRUST
Current firm class: asset managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jun 21, 2007earliest registration or exam on IAPD
Years in industry: 19derivedfrom the industry start date
Years at current firm: 6derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S65|S63
First exam: Jun 21, 2007
First registration: Jun 20, 2011
Dual registered: yes, broker-dealer
Other names: Christopher Garvin|Christopher C Garvin
IAPD individual key: 5343706

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
NOMURA INVESTMENT MANAGEMENT BUSINESS TRUST	Asset manager	Apr 20, 2020	n/a	yes	PHILADELPHIA, PA\|PHILADELPHIA, PA	Current employment
DELAWARE CAPITAL MANAGEMENT ADVISERS, INC	Former SEC adviser	Jul 31, 2019	Apr 20, 2020	no	PHILADELPHIA, PA	Previous registration
CLEARBRIDGE INVESTMENTS, LLC	Mixed wealth	Jan 10, 2019	Jun 7, 2019	no	NEW YORK, NY	Previous registration
NEUBERGER BERMAN BD LLC	No RAUM reported	Jun 20, 2011	Oct 9, 2018	no	NEW YORK, NY	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
DELAWARE CAPITAL MANAGEMENT ADVISERS, INC	NOMURA INVESTMENT MANAGEMENT BUSINESS TRUST	Apr 20, 2020	Apr 20, 2020	0	Bulk transfer	Other
CLEARBRIDGE INVESTMENTS, LLC	DELAWARE CAPITAL MANAGEMENT ADVISERS, INC	Jun 7, 2019	Jul 31, 2019	54	Firm change	Other
NEUBERGER BERMAN BD LLC	CLEARBRIDGE INVESTMENTS, LLC	Oct 9, 2018	Jan 10, 2019	93	Firm change	Other

Relationships

Registered with (4)

→ NOMURA INVESTMENT MANAGEMENT BUSINESS TRUSTRegistered adviserregistration: current employment
Apr 20, 2020 to presentfactForm ADV
→ DELAWARE CAPITAL MANAGEMENT ADVISERS, INCRegistered adviserregistration: previous registration
Jul 31, 2019 to Apr 20, 2020factForm ADV
→ CLEARBRIDGE INVESTMENTS, LLCRegistered adviserregistration: previous registration
Jan 10, 2019 to Jun 7, 2019factForm ADV
→ NEUBERGER BERMAN BD LLCRegistered adviserregistration: previous registration
Jun 20, 2011 to Oct 9, 2018factForm ADV

Dated events

No dated event names this entity yet.