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••••••••• L• A••••••••

N••• F•••••• I••••••••• S•••••••• L••BD affiliatedPensacola, Fl dual registrantIAPD 5925635

Feed of 09/14/2026

Also filed as Chris A••••••••

At current firm

0 y

since Oct 24, 2025

In the industry

13 y

since Jun 6, 2013 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

N••• F•••••• I••••••••• S•••••••• L•• BD affiliated current
since Oct 24, 2025 · Millington, Tn
G••••••• P•••••• W••••• state registered
Feb 7, 2023 to Oct 30, 2025 · Ridgeland, Ms
R•••••• W••••• A•••••••• I••• independent RIA
Jul 26, 2022 to Jan 25, 2023 · Minneapolis, Mn
F••••••• P••••••• A•• W•••••••• A••••••• former
Dec 20, 2021 to Jul 5, 2022 · Germantown, Tn
V•••• F•••••••• A•••••••• I••• BD affiliated
Jun 3, 2021 to Oct 27, 2021 · Brentwood, Tn
T• A••••••••• I••• former
Apr 17, 2019 to Jan 11, 2021 · Germantown, Tn
T• A••••••••• I••••••••• M••••••••• L•• former
Apr 17, 2019 to Dec 31, 2020 · Memphis, Tn
P•••••••• S••••••••• I••• BD affiliated
Jun 27, 2016 to Apr 22, 2019 · Cordova, Tn
T•• M••••• F••• S•••• former
Oct 7, 2015 to May 20, 2016 · Memphis, Tn
F•• S••••••••• C••••••••• former
Jun 11, 2013 to Sep 15, 2015 · Memphis, Tn

Moves

a registration end followed by a registration begin elsewhere

G••••••• P•••••• W••••• to N••• F•••••• I••••••••• S•••••••• L••
left Oct 30, 2025, registered Oct 24, 2025 (-6 days) · Other
R•••••• W••••• A•••••••• I••• to G••••••• P•••••• W•••••
left Jan 25, 2023, registered Feb 7, 2023 (13 days) · RIA to a state-registered adviser
F••••••• P••••••• A•• W•••••••• A••••••• to R•••••• W••••• A•••••••• I•••
left Jul 5, 2022, registered Jul 26, 2022 (21 days) · Affiliated broker-dealer or bank to independent RIA
V•••• F•••••••• A•••••••• I••• to F••••••• P••••••• A•• W•••••••• A•••••••
left Oct 27, 2021, registered Dec 20, 2021 (54 days) · Affiliated broker-dealer or bank to another
T• A••••••••• I••• to V•••• F•••••••• A•••••••• I•••
left Jan 11, 2021, registered Jun 3, 2021 (143 days) · Other
T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••
left Dec 31, 2020, registered Apr 17, 2019 (-624 days) · corporate re-registration, not a move
P•••••••• S••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••
left Apr 22, 2019, registered Apr 17, 2019 (-5 days) · Affiliated broker-dealer or bank to independent RIA
T•• M••••• F••• S•••• to P•••••••• S••••••••• I•••
left May 20, 2016, registered Jun 27, 2016 (38 days) · Other
F•• S••••••••• C••••••••• to T•• M••••• F••• S••••
left Sep 15, 2015, registered Oct 7, 2015 (22 days) · Other

Signals

C••••••••• L• A•••••••• left G••••••• P•••••• W••••• for N••• F•••••• I••••••••• S•••••••• L•• (registered 2025-10-24)
Oct 30, 2025 · Advisor changed firm · fact
C••••••••• L• A•••••••• left R•••••• W••••• A•••••••• I••• for G••••••• P•••••• W••••• (registered 2023-02-07)
Jan 25, 2023 · Advisor changed firm · fact
C••••••••• L• A•••••••• left F••••••• P••••••• A•• W•••••••• A••••••• for R•••••• W••••• A•••••••• I••• (registered 2022-07-26)
Jul 5, 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: Broker-dealer affiliated wealth managerderived
Years in industry: 13derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address