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 S Austin
Chartered Financial Analyst
Feed of 09/15/2026
Also filed as Chris Austin
At current firm
6 y
since Mar 4, 2020
In the industry
15 y
since Feb 1, 2011 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
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
- RBC Rochdale, LLC BD affiliated currentsince Mar 4, 2020 · Irvine, Ca
- 20/20 Capital Management, Inc formerMay 7, 2018 to Feb 3, 2020 · Costa Mesa, Ca
- Ameritas Advisory Services formerMar 19, 2014 to Dec 31, 2016 · Costa Mesa, Ca
- A.G.P / Alliance Global Partners independent RIAJan 14, 2013 to Feb 24, 2014 · Newport Beach, Ca
- Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseNov 10, 2011 to Jan 7, 2013 · Newport Beach, Ca
Moves
a registration end followed by a registration begin elsewhere
- 20/20 Capital Management, Inc to RBC Rochdale, LLCleft Feb 3, 2020, registered Mar 4, 2020 (30 days) · RIA to affiliated broker-dealer or bank
- Ameritas Advisory Services to 20/20 Capital Management, Incleft Dec 31, 2016, registered May 7, 2018 (492 days) · Other
- A.G.P / Alliance Global Partners to Ameritas Advisory Servicesleft Feb 24, 2014, registered Mar 19, 2014 (23 days) · Other
- Merrill Lynch, Pierce, Fenner & Smith Incorporated to A.G.P / Alliance Global Partnersleft Jan 7, 2013, registered Jan 14, 2013 (7 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
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address