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.
Feed of 09/14/2026
Also filed as Chris Ordway
At current firm
8 y
since Aug 13, 2018
In the industry
24 y
since Mar 8, 2002 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
S66, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Dynamic independent RIA currentsince Aug 13, 2018 · Phoenix, Az
- Bfc Planning, Inc. BD affiliatedJul 14, 2016 to Sep 10, 2018 · Phoenix, Az
- Berthel Fisher & Company Financial Services, Inc. BD affiliatedJan 25, 2013 to Sep 10, 2018 · Phoenix, Az
- Next Financial Group, Inc. formerAug 29, 2012 to Jan 14, 2013 · Tempe, Az
- Berthel Fisher & Company Financial Services, Inc. BD affiliatedJan 11, 2010 to Aug 20, 2012 · Chandler, Az
- MML Investors Services, LLC BD affiliatedApr 22, 2002 to Dec 16, 2003 · Chandler, Az
Moves
a registration end followed by a registration begin elsewhere
- Bfc Planning, Inc. to Dynamicleft Sep 10, 2018, registered Aug 13, 2018 (-28 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- Berthel Fisher & Company Financial Services, Inc. to Bfc Planning, Inc.left Sep 10, 2018, registered Jul 14, 2016 (-788 days) · Other · moved with a team
- Next Financial Group, Inc. to Berthel Fisher & Company Financial Services, Inc.left Jan 14, 2013, registered Jan 25, 2013 (11 days) · Other
- Berthel Fisher & Company Financial Services, Inc. to Next Financial Group, Inc.left Aug 20, 2012, registered Aug 29, 2012 (9 days) · Other
- MML Investors Services, LLC to Berthel Fisher & Company Financial Services, Inc.left Dec 16, 2003, registered Jan 11, 2010 (2218 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
- Independent wealth managerderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address