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.
Feed of 09/14/2026
Also filed as Chris John Wallace
At current firm
14 y
since Dec 13, 2011
In the industry
32 y
since Mar 18, 1994 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S65, S66, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Morgan Stanley wirehouse currentsince Dec 13, 2011 · Potomac, Md
- Morgan Keegan & Company, LLC formerJun 3, 2011 to Dec 13, 2011 · Rockville, Md
- Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseOct 23, 2009 to Jun 7, 2011 · Bethesda, Md
- Banc Of America Investment Services, Inc. unclassifiedMar 31, 2003 to Oct 23, 2009 · Bethesda, Md
Moves
a registration end followed by a registration begin elsewhere
- Morgan Keegan & Company, LLC to Morgan Stanleyleft Dec 13, 2011, registered Dec 13, 2011 (0 days) · Other
- Merrill Lynch, Pierce, Fenner & Smith Incorporated to Morgan Keegan & Company, LLCleft Jun 7, 2011, registered Jun 3, 2011 (-4 days) · Other
- Banc Of America Investment Services, Inc. to Merrill Lynch, Pierce, Fenner & Smith Incorporatedleft Oct 23, 2009, registered Oct 23, 2009 (0 days) · corporate re-registration, not a move
Signals
No dated event on this person.
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