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•••••• J••• R•••

G•••••• R••• W••••• A••••••• L••state registeredFairfield, NjIA-onlyIAPD 4358927

Certified Financial Planner

Feed of 09/14/2026

Also filed as Chuck Rose

At current firm

2 y

since Feb 23, 2024

In the industry

25 y

since May 11, 2001 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

G•••••• R••• W••••• A••••••• L•• state registered current
since Feb 23, 2024 · Fairfield, Nj
C••••• G•••• L•• independent RIA
Oct 23, 2020 to Mar 22, 2024 · New York, Ny
C••••••••• F•••••••• N•••••• national BD
Feb 22, 2019 to Sep 2, 2020 · Freehold, Nj
J• W• C••• A•••••••• I••• BD affiliated
Apr 27, 2018 to Mar 21, 2019 · West Caldwell, Nj
N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• former
Nov 30, 2015 to Nov 10, 2017 · Denver, Co
L•••• A••••• • C•• L•• asset manager
Jul 26, 2002 to Sep 9, 2015 · Jersey City, Nj

Moves

a registration end followed by a registration begin elsewhere

C••••• G•••• L•• to G•••••• R••• W••••• A••••••• L••
left Mar 22, 2024, registered Feb 23, 2024 (-28 days) · RIA to a state-registered adviser
C••••••••• F•••••••• N•••••• to C••••• G•••• L••
left Sep 2, 2020, registered Oct 23, 2020 (51 days) · Affiliated broker-dealer or bank to a newly registered adviser
J• W• C••• A•••••••• I••• to C••••••••• F•••••••• N••••••
left Mar 21, 2019, registered Feb 22, 2019 (-27 days) · RIA to affiliated broker-dealer or bank · moved with a team
N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to J• W• C••• A•••••••• I•••
left Nov 10, 2017, registered Apr 27, 2018 (168 days) · Other
L•••• A••••• • C•• L•• to N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••
left Sep 9, 2015, registered Nov 30, 2015 (82 days) · Other

Signals

C•••••• J••• R••• left C••••• G•••• L•• for G•••••• R••• W••••• A••••••• L•• (registered 2024-02-23)
Mar 22, 2024 · 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: STATE REGISTEREDderived
Years in industry: 25derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address