DFX Intelligence
Data Factory
Reading the graph
Reading the graph
Advisor at CHARLES SCHWAB & CO., INC.
Phoenix, AZ
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.
| Firm | Class | Began | Ended | Current | Branch | Basis |
|---|---|---|---|---|---|---|
| CHARLES SCHWAB & CO., INC. | National bd RIA | Jan 10, 2022 | n/a | yes | Phoenix, AZ | Current employment |
| CHARLES SCHWAB INVESTMENT ADVISORY, INC | Former SEC adviser | Mar 16, 2018 | Mar 5, 2022 | no | Phoenix, AZ|SAN FRANCISCO, CA | Previous registration |
| THOMASPARTNERS, INC. | Former SEC adviser | Jun 1, 2017 | Mar 30, 2018 | no | Phoeniz, AZ|BOSTON, MA | Previous registration |
| WINDHAVEN INVESTMENT MANAGEMENT, INC. | Former SEC adviser | Oct 14, 2015 | Mar 30, 2018 | no | Phoenix, AZ|BOSTON, MA | Previous registration |
| SCHWAB WEALTH ADVISORY, INC. | No RAUM reported | Jan 3, 2012 | Oct 7, 2015 | no | PHOENIX, AZ | Previous registration |
| CHARLES SCHWAB & CO., INC. | National bd RIA | Sep 19, 2006 | Dec 31, 2011 | no | PHOENIX, AZ|PHOENIX, AZ|Phoenix, AZ | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| CHARLES SCHWAB INVESTMENT ADVISORY, INC | CHARLES SCHWAB & CO., INC. | Mar 5, 2022 | Jan 10, 2022 | -54 | Channel change | Ibd to ibd |
| THOMASPARTNERS, INC. | CHARLES SCHWAB INVESTMENT ADVISORY, INC | Mar 30, 2018 | Mar 16, 2018 | -14 | Channel change | Other |
| WINDHAVEN INVESTMENT MANAGEMENT, INC. | THOMASPARTNERS, INC. | Mar 30, 2018 | Jun 1, 2017 | -302 | Channel change | Other |
| SCHWAB WEALTH ADVISORY, INC. | WINDHAVEN INVESTMENT MANAGEMENT, INC. | Oct 7, 2015 | Oct 14, 2015 | 7 | Channel change | Other |
| CHARLES SCHWAB & CO., INC. | SCHWAB WEALTH ADVISORY, INC. | Dec 31, 2011 | Jan 3, 2012 | 3 | Bulk transfer | Other |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 151739:5393:CA:2022-03-05 | Mar 5, 2022 | Jan 10, 2022 | SAN FRANCISCO, CA | Firm change after gap |
| 104966:151739:MA:2018-03-30 | Mar 30, 2018 | Mar 16, 2018 | BOSTON, MA | Firm change |
| 155138:104966:MA:2018-03-30 | Mar 30, 2018 | Jun 1, 2017 | BOSTON, MA | Firm change after gap |