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•••••• S••••••

A••••••••• F•••••••• S•••••••• L••national BDMelbourne, Fl dual registrantIAPD 2938521

Feed of 09/14/2026

Also filed as Chris S••••••

At current firm

6 y

since Jul 2, 2020

In the industry

28 y

since Feb 25, 1998 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, 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 2, 2020 · Melbourne, Fl
C••••••••• W••••• independent RIA
Dec 22, 2016 to Jul 1, 2020 · Melbourne, Fl
E•••••••• A•••••••• L•• national BD
Dec 19, 2011 to Dec 23, 2016 · Melbourne, Fl
W•••• F•••• A••••••• wirehouse
Jul 29, 2008 to Dec 16, 2011 · Indialantic, Fl
B••• O• A•••••• I••••••••• S•••••••• I••• unclassified
Dec 16, 2004 to Jul 30, 2008 · Merritt Island, Fl
A••••••••• A•••••• S•••••••• I••• unclassified
Aug 18, 2003 to Dec 15, 2004 · Orlando, Fl

Moves

a registration end followed by a registration begin elsewhere

C••••••••• W••••• to A••••••••• F•••••••• S•••••••• L••
left Jul 1, 2020, registered Jul 2, 2020 (1 days) · RIA to affiliated broker-dealer or bank · moved with a team
E•••••••• A•••••••• L•• to C••••••••• W•••••
left Dec 23, 2016, registered Dec 22, 2016 (-1 days) · Other
W•••• F•••• A••••••• to E•••••••• A•••••••• L••
left Dec 16, 2011, registered Dec 19, 2011 (3 days) · Wirehouse to affiliated broker-dealer or bank
B••• O• A•••••• I••••••••• S•••••••• I••• to W•••• F•••• A•••••••
left Jul 30, 2008, registered Jul 29, 2008 (-1 days) · Other
A••••••••• A•••••• S•••••••• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••
left Dec 15, 2004, registered Dec 16, 2004 (1 days) · Other

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: National broker-dealer RIAderived
Years in industry: 28derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address