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••••••••• W•••••• W••••••

M••••• S••••••wirehouseStamford, Ct dual registrantIAPD 5161544

Feed of 09/14/2026

Also filed as Chris Walters

At current firm

3 y

since Mar 30, 2023

In the industry

13 y

since Aug 17, 2013 (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

M••••• S•••••• wirehouse current
since Mar 30, 2023 · Stamford, Ct
J••• M••••• P•••••• W••••• A••••••• L•• former
Nov 4, 2022 to Apr 25, 2023 · New York, Ny
J••• M••••• S••••••••• L•• wirehouse
Oct 16, 2015 to Nov 6, 2022 · New York, Ny
C••••• S••••• S••••••••• •••• L•• former
Aug 23, 2013 to Nov 10, 2015 · New York, Ny

Moves

a registration end followed by a registration begin elsewhere

J••• M••••• P•••••• W••••• A••••••• L•• to M••••• S••••••
left Apr 25, 2023, registered Mar 30, 2023 (-26 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
J••• M••••• S••••••••• L•• to J••• M••••• P•••••• W••••• A••••••• L••
left Nov 6, 2022, registered Nov 4, 2022 (-2 days) · channel change inside one enterprise, not a move · moved with a team
C••••• S••••• S••••••••• •••• L•• to J••• M••••• S••••••••• L••
left Nov 10, 2015, registered Oct 16, 2015 (-25 days) · Other · moved with a team

Signals

C••••••••• W•••••• W•••••• left J••• M••••• P•••••• W••••• A••••••• L•• for M••••• S•••••• (registered 2023-03-30)
Apr 25, 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: Wirehousederived
Years in industry: 13derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address