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.

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Registered advisor

C••••••••• S•••• P••••••

M••••••BD affiliatedMadison, NjIA-onlyIAPD 5351670

Certified Financial Planner

Feed of 09/14/2026

Also filed as Chris S P••••••

At current firm

2 y

since Apr 10, 2024

In the industry

18 y

since Jul 25, 2008 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

M•••••• BD affiliated current
since Apr 10, 2024 · Madison, Nj
T•• M••••• G••••• L•• independent RIA
Apr 14, 2023 to Apr 10, 2024 · Morristown, Nj
C•••••• independent RIA
Dec 12, 2022 to Mar 1, 2023 · Morristown, Nj
R••••••••• former
Oct 16, 2019 to Mar 1, 2023 · Morristown, Nj
M•• F•••••••• S•••••••• I••• former
Jul 17, 2009 to Jun 14, 2011 · Freehold, Nj

Moves

a registration end followed by a registration begin elsewhere

T•• M••••• G••••• L•• to M••••••
left Apr 10, 2024, registered Apr 10, 2024 (0 days) · RIA to affiliated broker-dealer or bank
R••••••••• to C••••••
left Mar 1, 2023, registered Dec 12, 2022 (-79 days) · corporate re-registration, not a move
C•••••• to T•• M••••• G••••• L••
left Mar 1, 2023, registered Apr 14, 2023 (44 days) · RIA to RIA
M•• F•••••••• S•••••••• I••• to R•••••••••
left Jun 14, 2011, registered Oct 16, 2019 (3046 days) · Other

Signals

C••••••••• S•••• P•••••• left T•• M••••• G••••• L•• for Mariner (registered 2024-04-10)
Apr 10, 2024 · Advisor changed firm · fact
C••••••••• S•••• P•••••• left Corient for T•• M••••• G••••• L•• (registered 2023-04-14)
Mar 1, 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: Broker-dealer affiliated wealth managerderived
Years in industry: 18derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address