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
Chad Michael Backes
Feed of 09/15/2026
At current firm
0 y
since Jul 13, 2026
In the industry
26 y
since Oct 26, 1999 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- Osaic Institutions, Inc. BD affiliated currentsince Jul 13, 2026 · Stevens Point, Wi
- LPL Financial LLC BD affiliatedNov 29, 2017 to Jul 13, 2026 · Dale, Wi
- Sii Investments, Inc. formerSep 9, 2005 to Mar 2, 2007 · Appleton, Wi
- Investment Centers Of America, Inc. formerOct 3, 2001 to Dec 5, 2017 · Appleton, Wi
Moves
a registration end followed by a registration begin elsewhere
- LPL Financial LLC to Osaic Institutions, Inc.left Jul 13, 2026, registered Jul 13, 2026 (0 days) · Affiliated broker-dealer or bank to another
- Investment Centers Of America, Inc. to Sii Investments, Inc.left Dec 5, 2017, registered Sep 9, 2005 (-4470 days) · channel change inside one enterprise, not a move
- Sii Investments, Inc. to LPL Financial LLCleft Mar 2, 2007, registered Nov 29, 2017 (3925 days) · Other
Signals
- Chad Michael Backes left Lpl Financial Llc for Osaic Institutions, Inc. (registered 2026-07-13)Jul 13, 2026 · 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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address