DFX Intelligence
RIA Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Registered advisor
C••••••••• J••••• D••••
Feed of 09/15/2026
Also filed as Chris D••••
At current firm
3 y
since Jun 16, 2023
In the industry
26 y
since Mar 27, 2000 (earliest exam, job or registration)
Prior registered firms
4
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
- W•••• F•••• A••••••• wirehouse currentsince Jun 16, 2023 · East Haven, Ct
- K•• I••••••••• S••••••• L•• BD affiliatedAug 29, 2018 to Jun 16, 2023 · Manchester, Ct
- C••••••• S••••••••• I••• BD affiliatedNov 9, 2017 to Aug 9, 2018 · Cranston, Ri
- O•••• F•• I••• formerMar 21, 2003 to Jun 2, 2004 · New Haven, Ct
- P•••••• A••••••• S••••••• I•• unclassifiedMar 27, 2000 to Mar 27, 2003 · New Haven, Ct
Moves
a registration end followed by a registration begin elsewhere
- K•• I••••••••• S••••••• L•• to W•••• F•••• A•••••••left Jun 16, 2023, registered Jun 16, 2023 (0 days) · Affiliated broker-dealer or bank to wirehouse
- C••••••• S••••••••• I••• to K•• I••••••••• S••••••• L••left Aug 9, 2018, registered Aug 29, 2018 (20 days) · Affiliated broker-dealer or bank to another
- O•••• F•• I••• to C••••••• S••••••••• I•••left Jun 2, 2004, registered Nov 9, 2017 (4908 days) · Other
- P•••••• A••••••• S••••••• I•• to O•••• F•• I•••left Mar 27, 2003, registered Mar 21, 2003 (-6 days) · Other
Signals
- C••••••••• J••••• D•••• left K•• I••••••••• S••••••• L•• for W•••• F•••• A••••••• (registered 2023-06-16)Jun 16, 2023 · 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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address