DFX Intelligence
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Registered advisor
C••••••••• D••••• S••••
Feed of 09/15/2026
Also filed as Chris S••••
At current firm
0 y
since Feb 13, 2026
In the industry
17 y
since Nov 17, 2008 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- U••• B•••••• A•••••••• L•• BD affiliated currentsince Feb 13, 2026 · Napa, Ca
- U••• B•••••• I••••••••• I••• formerNov 10, 2021 to Feb 13, 2026 · Saint Paul, Mn
- L•• F•••••••• L•• BD affiliatedAug 8, 2016 to Nov 24, 2021 · Palo Alto, Ca
- J••• M••••• S••••••••• L•• wirehouseJan 9, 2014 to Aug 15, 2016 · Menlo Park, Ca
- W•••• F•••• A••••••• wirehouseMar 6, 2012 to Jan 7, 2014 · Seal Beach, Ca
- C•••• I••••••••• S••••••• C•••• formerMar 11, 2011 to Mar 5, 2012 · Huntington Beach, Ca
Moves
a registration end followed by a registration begin elsewhere
- U••• B•••••• I••••••••• I••• to U••• B•••••• A•••••••• L••left Feb 13, 2026, registered Feb 13, 2026 (0 days) · corporate re-registration, not a move
- L•• F•••••••• L•• to U••• B•••••• I••••••••• I•••left Nov 24, 2021, registered Nov 10, 2021 (-14 days) · Affiliated broker-dealer or bank to another
- J••• M••••• S••••••••• L•• to L•• F•••••••• L••left Aug 15, 2016, registered Aug 8, 2016 (-7 days) · Other · moved with a team
- W•••• F•••• A••••••• to J••• M••••• S••••••••• L••left Jan 7, 2014, registered Jan 9, 2014 (2 days) · Wirehouse to wirehouse
- C•••• I••••••••• S••••••• C•••• to W•••• F•••• A•••••••left Mar 5, 2012, registered Mar 6, 2012 (1 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address