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••••••••• B•••••

C•••••••• I••••••••• R••••••• A•••••••• I•••BD affiliatedPhoenix, Azdual registrantIAPD 2687153

Feed of 09/14/2026

Also filed as Christopher A Basque

At current firm

1 y

since Nov 13, 2024

In the industry

30 y

since Feb 21, 1996 (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

C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated current
since Nov 13, 2024 · Phoenix, Az
T•••• A•••••••• L•• former
Mar 2, 2022 to Jul 13, 2023 · Atlanta, Ga
A••••••••• I••• BD affiliated
Oct 13, 2020 to Dec 14, 2020 · Phoenix, Az
C•••••• S••••• • C••• I••• national BD
Jul 15, 2020 to Aug 21, 2020 · Phoenix, Az
U••• I••••••••• S••••••• C•••••• no RAUM
Apr 8, 2020 to Apr 30, 2020 · Phoenix, Az
R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated
Jul 24, 2017 to Feb 25, 2019 · St. Petersburg, Fl
M••••• S•••••• wirehouse
Jul 27, 2016 to Jan 10, 2017 · South Jordan, Ut
E•••• • Y•••• I••••••••• A••••••• L•• no RAUM
Apr 11, 2016 to Aug 10, 2016 · Tampa, Fl
I••••• F•••••••• C••••••••• former
Mar 12, 2015 to Feb 16, 2016 · Appleton, Wi
C••••••••• W•••••• L•• independent RIA
Sep 5, 2014 to Dec 1, 2014 · Los Angeles, Ca
C•••••• S••••• • C••• I••• national BD
Aug 3, 2007 to Mar 11, 2014 · Phoenix, Az

Moves

a registration end followed by a registration begin elsewhere

T•••• A•••••••• L•• to C•••••••• I••••••••• R••••••• A•••••••• I•••
left Jul 13, 2023, registered Nov 13, 2024 (489 days) · Affiliated broker-dealer or bank to another
A••••••••• I••• to T•••• A•••••••• L••
left Dec 14, 2020, registered Mar 2, 2022 (443 days) · Affiliated broker-dealer or bank to another
C•••••• S••••• • C••• I••• to A••••••••• I•••
left Aug 21, 2020, registered Oct 13, 2020 (53 days) · Affiliated broker-dealer or bank to another
U••• I••••••••• S••••••• C•••••• to C•••••• S••••• • C••• I•••
left Apr 30, 2020, registered Jul 15, 2020 (76 days) · Affiliated broker-dealer or bank to another
R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to U••• I••••••••• S••••••• C••••••
left Feb 25, 2019, registered Apr 8, 2020 (408 days) · Affiliated broker-dealer or bank to another
M••••• S•••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••
left Jan 10, 2017, registered Jul 24, 2017 (195 days) · Other
E•••• • Y•••• I••••••••• A••••••• L•• to M••••• S••••••
left Aug 10, 2016, registered Jul 27, 2016 (-14 days) · Other
I••••• F•••••••• C••••••••• to E•••• • Y•••• I••••••••• A••••••• L••
left Feb 16, 2016, registered Apr 11, 2016 (55 days) · Other
C••••••••• W•••••• L•• to I••••• F•••••••• C•••••••••
left Dec 1, 2014, registered Mar 12, 2015 (101 days) · Other
C•••••• S••••• • C••• I••• to C••••••••• W•••••• L••
left Mar 11, 2014, registered Sep 5, 2014 (178 days) · Other

Signals

C••••••••• B••••• left T•••• A•••••••• L•• for C•••••••• I••••••••• R••••••• A•••••••• I••• (registered 2024-11-13)
Jul 13, 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: Broker-dealer affiliated wealth managerderived
Years in industry: 30derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address