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••••••••• C•••••• T••••

A••••••••• F•••••••• S•••••••• L••national BDMillsboro, De dual registrantIAPD 2453539

Feed of 09/15/2026

Also filed as Chris T••••

At current firm

1 y

since Jul 28, 2025

In the industry

32 y

since Mar 1, 1994 (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

A••••••••• F•••••••• S•••••••• L•• national BD current
since Jul 28, 2025 · Millsboro, De
C••••••••• F•••••••• N•••••• national BD
Sep 21, 2018 to Jul 29, 2025 · Waltham, Ma
B•• I••••••••• S••••••• independent RIA
Feb 26, 2018 to Sep 24, 2018 · Dover, De
W•••• F•••• A••••••• wirehouse
Jan 10, 2011 to Apr 4, 2018 · Dover, De
E••••• J•••• national BD
Feb 25, 2009 to Jan 12, 2011 · Millsboro, De

Moves

a registration end followed by a registration begin elsewhere

C••••••••• F•••••••• N•••••• to A••••••••• F•••••••• S•••••••• L••
left Jul 29, 2025, registered Jul 28, 2025 (-1 days) · Affiliated broker-dealer or bank to another
B•• I••••••••• S••••••• to C••••••••• F•••••••• N••••••
left Sep 24, 2018, registered Sep 21, 2018 (-3 days) · RIA to affiliated broker-dealer or bank
W•••• F•••• A••••••• to B•• I••••••••• S•••••••
left Apr 4, 2018, registered Feb 26, 2018 (-37 days) · Wirehouse to a newly registered adviser (no RAUM reported yet) · moved with a team
E••••• J•••• to W•••• F•••• A•••••••
left Jan 12, 2011, registered Jan 10, 2011 (-2 days) · Affiliated broker-dealer or bank to wirehouse

Signals

C••••••••• C•••••• T•••• left C••••••••• F•••••••• N•••••• for A••••••••• F•••••••• S•••••••• L•• (registered 2025-07-28)
Jul 29, 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: National broker-dealer RIAderived
Years in industry: 32derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address