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••••••••• R• R•••

E••••• J••••national BDSt. Louis, Mo dual registrantIAPD 5481112

Feed of 09/15/2026

Also filed as Chris R Ruiz

At current firm

1 y

since Mar 3, 2025

In the industry

18 y

since Sep 11, 2008 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

E••••• J•••• national BD current
since Mar 3, 2025 · St. Louis, Mo
J••• M••••• S••••••••• L•• wirehouse
Mar 4, 2024 to May 25, 2024 · Tempe, Az
M••••• S•••••• wirehouse
Nov 9, 2022 to Jun 9, 2023 · Gilbert, Az
S•••••••• F••••••••• I••• former
Nov 19, 2021 to Oct 21, 2022 · Scottsdale, Az
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Nov 12, 2020 to Oct 29, 2021 · Chandler, Az
W•••• F•••• A••••••• wirehouse
Apr 23, 2019 to Sep 30, 2020 · Phoenix, Az
E••••• J•••• national BD
Aug 28, 2015 to Sep 19, 2018 · Queen Creek, Az
E••••• J•••• national BD
Feb 14, 2013 to Jul 14, 2015 · Tempe, Az

Moves

a registration end followed by a registration begin elsewhere

J••• M••••• S••••••••• L•• to E••••• J••••
left May 25, 2024, registered Mar 3, 2025 (282 days) · Wirehouse to affiliated broker-dealer or bank
M••••• S•••••• to J••• M••••• S••••••••• L••
left Jun 9, 2023, registered Mar 4, 2024 (269 days) · Wirehouse to wirehouse · moved with a team
S•••••••• F••••••••• I••• to M••••• S••••••
left Oct 21, 2022, registered Nov 9, 2022 (19 days) · Affiliated broker-dealer or bank to wirehouse
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to S•••••••• F••••••••• I•••
left Oct 29, 2021, registered Nov 19, 2021 (21 days) · Wirehouse to affiliated broker-dealer or bank
W•••• F•••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Sep 30, 2020, registered Nov 12, 2020 (43 days) · Wirehouse to wirehouse
E••••• J•••• to W•••• F•••• A•••••••
left Sep 19, 2018, registered Apr 23, 2019 (216 days) · Affiliated broker-dealer or bank to wirehouse

Signals

C••••••••• R• R••• left J••• M••••• S••••••••• L•• for E••••• J•••• (registered 2025-03-03)
May 25, 2024 · Advisor changed firm · fact
C••••••••• R• R••• left M••••• S•••••• for J••• M••••• S••••••••• L•• (registered 2024-03-04)
Jun 9, 2023 · Advisor changed firm · fact
C••••••••• R• R••• left S•••••••• F••••••••• I••• for M••••• S•••••• (registered 2022-11-09)
Oct 21, 2022 · 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: National broker-dealer RIAderived
Years in industry: 18derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address