DFX Intelligence
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Registered advisor
C••••••••• S••••• N•••••
Feed of 09/15/2026
Also filed as Chris S••••• N•••••
At current firm
8 y
since Mar 26, 2018
In the industry
25 y
since Jan 5, 2001 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
16
current, as an IAR
Firms today
2
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- I•••••••• A•••••••• L•• BD affiliated currentsince May 6, 2025 · Burlington, Nc
- I•••••••• A••••••• S•••••••• independent RIA currentsince Mar 26, 2018 · Burlington, Nc
- O•••• F•• I••• formerDec 31, 2001 to Aug 13, 2004 · Greensboro, Nc
Moves
a registration end followed by a registration begin elsewhere
- O•••• F•• I••• to I•••••••• A••••••• S••••••••left Aug 13, 2004, registered Mar 26, 2018 (4973 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address