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

C••••••••• M•••••

M•••••• L••••• P•••••• F••••• • S•••• I•••••••••wirehouseRed Bank, Njdual registrantIAPD 2412989

Feed of 09/14/2026

Also filed as Chris Malloy

At current firm

1 y

since Sep 26, 2024

In the industry

32 y

since Jul 13, 1994 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse current
since Sep 26, 2024 · Red Bank, Nj
E•••• S••••••••• L•• BD affiliated
Nov 6, 2023 to Aug 26, 2024 · Wall, Nj
J••• M••••• S••••••••• L•• wirehouse
Apr 13, 2015 to Jun 25, 2023 · Shrewsbury, Nj
S••••••• F•••••••• S•••••••• I••• former
Feb 19, 2015 to Mar 30, 2015 · Wall, Nj

Moves

a registration end followed by a registration begin elsewhere

E•••• S••••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Aug 26, 2024, registered Sep 26, 2024 (31 days) · Affiliated broker-dealer or bank to wirehouse
J••• M••••• S••••••••• L•• to E•••• S••••••••• L••
left Jun 25, 2023, registered Nov 6, 2023 (134 days) · Wirehouse to affiliated broker-dealer or bank
S••••••• F•••••••• S•••••••• I••• to J••• M••••• S••••••••• L••
left Mar 30, 2015, registered Apr 13, 2015 (14 days) · Other

Signals

C••••••••• M••••• left E•••• S••••••••• L•• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2024-09-26)
Aug 26, 2024 · Advisor changed firm · fact
C••••••••• M••••• left J••• M••••• S••••••••• L•• for E•••• S••••••••• L•• (registered 2023-11-06)
Jun 25, 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: 32derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address