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••••••••• D• G•••••

H•• I••••••••• P•••••••• L••independent RIAAlbuquerque, Nm IA-onlyIAPD 6373020

Feed of 09/15/2026

Also filed as Christopher David Guzman

At current firm

0 y

since Sep 24, 2025

In the industry

11 y

since Oct 27, 2014 (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

H•• I••••••••• P•••••••• L•• independent RIA current
since Sep 24, 2025 · Austin, Tx
A••••••••• F•••••••• S•••••••• L•• national BD
Aug 19, 2020 to Sep 11, 2025 · Albuquerque, Nm
W•••• F•••• A••••••• wirehouse
Mar 6, 2019 to Mar 19, 2020 · Albuquerque, Nm
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Jul 17, 2017 to Mar 4, 2019 · Albuquerque, Nm
M••••• S•••••• wirehouse
Dec 22, 2015 to Apr 4, 2017 · Albuquerque, Nm

Moves

a registration end followed by a registration begin elsewhere

A••••••••• F•••••••• S•••••••• L•• to H•• I••••••••• P•••••••• L••
left Sep 11, 2025, registered Sep 24, 2025 (13 days) · Affiliated broker-dealer or bank to independent RIA
W•••• F•••• A••••••• to A••••••••• F•••••••• S•••••••• L••
left Mar 19, 2020, registered Aug 19, 2020 (153 days) · Wirehouse to affiliated broker-dealer or bank
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••
left Mar 4, 2019, registered Mar 6, 2019 (2 days) · Wirehouse to wirehouse
M••••• S•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Apr 4, 2017, registered Jul 17, 2017 (104 days) · Wirehouse to wirehouse

Signals

C••••••••• D• G••••• left A••••••••• F•••••••• S•••••••• L•• for H•• I••••••••• P•••••••• L•• (registered 2025-09-24)
Sep 11, 2025 · 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: Independent wealth managerderived
Years in industry: 11derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address