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
Christopher Aaron Wicker
Feed of 09/14/2026
At current firm
2 y
since Nov 13, 2023
In the industry
26 y
since Jul 6, 2000 (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
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
- LPL Financial LLC BD affiliated currentsince Nov 13, 2023 · Baldwin, Wi
- Harbour Investments, Inc. independent RIAOct 2, 2006 to Nov 13, 2023 · Baldwin, Wi
- Invest Financial Corporation formerMay 21, 2004 to Oct 2, 2006 · Baldwin, Wi
- Transamerica Financial Advisors, Inc. unclassifiedJul 9, 2003 to May 24, 2004 · Baldwin, Wi
Moves
a registration end followed by a registration begin elsewhere
- Harbour Investments, Inc. to LPL Financial LLCleft Nov 13, 2023, registered Nov 13, 2023 (0 days) · RIA to affiliated broker-dealer or bank
- Invest Financial Corporation to Harbour Investments, Inc.left Oct 2, 2006, registered Oct 2, 2006 (0 days) · Other
- Transamerica Financial Advisors, Inc. to Invest Financial Corporationleft May 24, 2004, registered May 21, 2004 (-3 days) · Other
Signals
- Christopher Aaron Wicker left Harbour Investments, Inc. for Lpl Financial Llc (registered 2023-11-13)Nov 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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address