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.

Registered advisor

Chris H Naum

Centaurus Financial, Inc.BD affiliatedNorth Haledon, Njdual registrantIAPD 2472353

Feed of 09/14/2026

Also filed as Chris H Naum

At current firm

0 y

since Nov 6, 2025

In the industry

32 y

since Apr 21, 1994 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

Centaurus Financial, Inc. BD affiliated current
since Nov 6, 2025 · North Haledon, Nj
LPL Financial LLC BD affiliated
Mar 6, 2025 to Nov 10, 2025 · North Haledon, Nj
Ic Advisory Services, Inc. former
Jan 3, 2012 to Mar 6, 2025 · Mahwah, Nj
Investors Capital Advisory former
Dec 16, 2005 to Dec 31, 2011 · Lynnfield, Ma
Lombard Advisers Incorporated independent RIA
Feb 10, 2003 to Dec 31, 2005 · Mahwah,, Nj

Moves

a registration end followed by a registration begin elsewhere

LPL Financial LLC to Centaurus Financial, Inc.
left Nov 10, 2025, registered Nov 6, 2025 (-4 days) · Affiliated broker-dealer or bank to another
Ic Advisory Services, Inc. to LPL Financial LLC
left Mar 6, 2025, registered Mar 6, 2025 (0 days) · corporate re-registration, not a move
Investors Capital Advisory to Ic Advisory Services, Inc.
left Dec 31, 2011, registered Jan 3, 2012 (3 days) · Other
Lombard Advisers Incorporated to Investors Capital Advisory
left Dec 31, 2005, registered Dec 16, 2005 (-15 days) · Other

Signals

Chris H Naum left Lpl Financial Llc for Centaurus Financial, Inc. (registered 2025-11-06)
Nov 10, 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: Broker-dealer affiliated wealth managerderived
Years in industry: 32derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address