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••• S•••• C•••

H••• S••••••••• •••• I•••BD affiliatedFlus••••, Nydual registrantIAPD 6412043

Feed of 09/14/2026

Also filed as Chris C••• S•••• C•••

At current firm

1 y

since Dec 5, 2024

In the industry

11 y

since Jan 14, 2015 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

H••• S••••••••• •••• I••• BD affiliated current
since Dec 5, 2024 · Flus••••, Ny
J••• M••••• S••••••••• L•• wirehouse
Nov 1, 2023 to Nov 23, 2024 · Brooklyn, Ny
H••• S••••••••• •••• I••• BD affiliated
Jun 16, 2022 to Oct 26, 2023 · New York, Ny
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Aug 21, 2015 to Jun 7, 2022 · New York, Ny
H••• S••••••••• •••• I••• BD affiliated
Jul 1, 2015 to Sep 16, 2015 · New York, Ny

Moves

a registration end followed by a registration begin elsewhere

J••• M••••• S••••••••• L•• to H••• S••••••••• •••• I•••
left Nov 23, 2024, registered Dec 5, 2024 (12 days) · Wirehouse to affiliated broker-dealer or bank
H••• S••••••••• •••• I••• to J••• M••••• S••••••••• L••
left Oct 26, 2023, registered Nov 1, 2023 (6 days) · Affiliated broker-dealer or bank to wirehouse
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to H••• S••••••••• •••• I•••
left Jun 7, 2022, registered Jun 16, 2022 (9 days) · Wirehouse to affiliated broker-dealer or bank
H••• S••••••••• •••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Sep 16, 2015, registered Aug 21, 2015 (-26 days) · Other

Signals

C••• S•••• C••• left J••• M••••• S••••••••• L•• for H••• S••••••••• •••• I••• (registered 2024-12-05)
Nov 23, 2024 · advisor firm c•••ge · fact
C••• S•••• C••• left H••• S••••••••• •••• I••• for J••• M••••• S••••••••• L•• (registered 2023-11-01)
Oct 26, 2023 · advisor firm c•••ge · fact
C••• S•••• C••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for H••• S••••••••• •••• I••• (registered 2022-06-16)
Jun 7, 2022 · advisor firm c•••ge · 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: 11derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address