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 C Garvin
Feed of 09/14/2026
Also filed as Christopher Garvin
At current firm
6 y
since Apr 20, 2020
In the industry
19 y
since Jun 21, 2007 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
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
- Nomura Investment Management Business Trust asset manager currentsince Apr 20, 2020 · Philadelphia, Pa
- Delaware Capital Management Advisers, Inc formerJul 31, 2019 to Apr 20, 2020 · Philadelphia, Pa
- Clearbridge Investments, LLC mixed wealthJan 10, 2019 to Jun 7, 2019 · New York, Ny
- Neuberger Berman Bd LLC no RAUMJun 20, 2011 to Oct 9, 2018 · New York, Ny
Moves
a registration end followed by a registration begin elsewhere
- Delaware Capital Management Advisers, Inc to Nomura Investment Management Business Trustleft Apr 20, 2020, registered Apr 20, 2020 (0 days) · corporate re-registration, not a move
- Clearbridge Investments, LLC to Delaware Capital Management Advisers, Incleft Jun 7, 2019, registered Jul 31, 2019 (54 days) · Other
- Neuberger Berman Bd LLC to Clearbridge Investments, LLCleft Oct 9, 2018, registered Jan 10, 2019 (93 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
- Asset manager (funds and pooled vehicles)derived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address