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••••••••• J••• F•••••

C••••• I••••••••• A••••••• L••BD affiliatedSt. Paul, Mn dual registrantIAPD 6591955

Feed of 09/14/2026

Also filed as Chris F•••••

At current firm

3 y

since Aug 10, 2023

In the industry

10 y

since Feb 1, 2016 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

C••••• I••••••••• A••••••• L•• BD affiliated current
since Aug 10, 2023 · Minneapolis, Mn
S••••••• F•••••••• S•••••••• I••• former
Jul 19, 2023 to Aug 10, 2023 · St. Paul, Mn
L••••••• W••••• M••••••••• G•••• former
Aug 1, 2022 to Jul 14, 2023 · Lake Elmo, Mn
T••••••• A•••••• N••••••• L•• BD affiliated
Mar 11, 2021 to Aug 15, 2022 · Lake Elmo, Mn
T••••••• I••••••••• M••••••••• I••• BD affiliated
Apr 25, 2016 to Mar 17, 2021 · Minneapolis, Mn

Moves

a registration end followed by a registration begin elsewhere

S••••••• F•••••••• S•••••••• I••• to C••••• I••••••••• A••••••• L••
left Aug 10, 2023, registered Aug 10, 2023 (0 days) · corporate re-registration, not a move
L••••••• W••••• M••••••••• G•••• to S••••••• F•••••••• S•••••••• I•••
left Jul 14, 2023, registered Jul 19, 2023 (5 days) · RIA to RIA
T••••••• A•••••• N••••••• L•• to L••••••• W••••• M••••••••• G••••
left Aug 15, 2022, registered Aug 1, 2022 (-14 days) · Affiliated broker-dealer or bank to a newly registered adviser · moved with a team
T••••••• I••••••••• M••••••••• I••• to T••••••• A•••••• N••••••• L••
left Mar 17, 2021, registered Mar 11, 2021 (-6 days) · Affiliated broker-dealer or bank to another

Signals

C••••••••• J••• F••••• left L••••••• W••••• M••••••••• G•••• for S••••••• F•••••••• S•••••••• I••• (registered 2023-07-19)
Jul 14, 2023 · a•••••• firm change · fact
C••••••••• J••• F••••• left T••••••• A•••••• N••••••• L•• for L••••••• W••••• M••••••••• G•••• (registered 2022-08-01)
Aug 15, 2022 · a•••••• firm change · 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: 10derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address