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RIA / WealthAdvisordual registered (broker-dealer)14 years in industry

Christopher James Carruthers

Advisor at AMERIPRISE FINANCIAL SERVICES, LLC

Bastrop, TX

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Search this name across graphsid dfx:ria:b86e0796-9e4f-0727-8060-b3dd5330246c

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 5:38 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Jul 17, 2013 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: AMERIPRISE FINANCIAL SERVICES, LLC
Current firm class: national broker-dealer RIAderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Apr 9, 2012earliest registration or exam on IAPD
Years in industry: 14derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S66|S63
First exam: Apr 9, 2012
First registration: Jul 17, 2013
Dual registered: yes, broker-dealer
Other names: CHRISTOPHER JAMES CARRUTHERS|CHRISTOPHER CARRUTHERS|CHRIS JAMES CARRUTHERS|CHRIS J CARRUTHERS|CHRIS CARRUTHERS|CHRISTOPHER J CARRUTHERS
IAPD individual key: 6043416

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
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Jul 17, 2026	n/a	yes	Bastrop, TX	Current employment
DOVETAIL WEALTH MANAGEMENT, LLC	Independent wealth	Jul 15, 2021	Jul 20, 2026	no	TAYLOR, TX	Previous registration
AUSTIN PRIVATE WEALTH, LLC	Former SEC adviser	Jul 18, 2019	Jun 30, 2020	no	AUSTIN, TX	Previous registration
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Jul 29, 2014	Jul 23, 2019	no	Austin, TX\|Austin, TX\|Corpus Christi, TX\|Austin, TX	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Jul 17, 2013	Jun 4, 2014	no	AUSTIN, TX	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
DOVETAIL WEALTH MANAGEMENT, LLC	AMERIPRISE FINANCIAL SERVICES, LLC	Jul 20, 2026	Jul 17, 2026	-3	Firm change	RIA to ibd
AUSTIN PRIVATE WEALTH, LLC	DOVETAIL WEALTH MANAGEMENT, LLC	Jun 30, 2020	Jul 15, 2021	380	Firm change	RIA to RIA
AMERIPRISE FINANCIAL SERVICES, LLC	AUSTIN PRIVATE WEALTH, LLC	Jul 23, 2019	Jul 18, 2019	-5	Firm change	Ibd to new firm
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	AMERIPRISE FINANCIAL SERVICES, LLC	Jun 4, 2014	Jul 29, 2014	55	Firm change	Wirehouse to ibd

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
6363:304344:TX:2019-07-18	Jul 23, 2019	Jul 18, 2019	AUSTIN, TX	Firm change

Relationships

Registered with (4)

→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Jul 29, 2014 to Jul 23, 2019factForm ADV
→ DOVETAIL WEALTH MANAGEMENT, LLCRegistered adviserregistration: previous registration
Jul 15, 2021 to Jul 20, 2026factForm ADV
→ AUSTIN PRIVATE WEALTH, LLCRegistered adviserregistration: previous registration
Jul 18, 2019 to Jun 30, 2020factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Jul 17, 2013 to Jun 4, 2014factForm ADV

Dated events

Occurred
Jul 20, 2026
Advisor changed firm
Christopher James Carruthers left Dovetail Wealth Management, Llc for Ameriprise Financial Services, Llc (registered 2026-07-17)
Form ADVobserved 5 days ago