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RIA / WealthAdvisordual registered (broker-dealer)12 years in industry

Anthony Caiola

Advisor at CHARLES SCHWAB & CO., INC.

Orlando, FL

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Search this name across graphsid dfx:ria:f9df1552-5d0f-5e69-c33e-d58ed0168a05

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 12:31 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 3
On other graphs: 0
Observed: Mar 11, 2022 to Sep 14, 2026

Across DFX

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.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: CHARLES SCHWAB & CO., INC.
Current firm class: national broker-dealer RIAderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jun 1, 2014earliest registration or exam on IAPD
Years in industry: 12derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Exams: S63|S65
First exam: Oct 11, 2018
First registration: Mar 11, 2022
Dual registered: yes, broker-dealer
Other names: ANTHONY VINCENT CAIOLA
IAPD individual key: 6078103

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
CHARLES SCHWAB & CO., INC.	National bd RIA	Mar 17, 2025	n/a	yes	Orlando, FL	Current employment
SEVERIN INVESTMENTS LLC	Independent wealth	Jun 6, 2024	Aug 19, 2024	no	ST. LOUIS, MO\|Clearwater, FL	Previous registration
RM INVESTMENT STRATEGIES, LLC	Asset manager	Apr 5, 2024	May 28, 2024	no	GRAND RAPIDS, MI	Previous registration
MORGAN STANLEY	Wirehouse	Mar 11, 2022	Sep 13, 2023	no	PURCHASE, NY	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
SEVERIN INVESTMENTS LLC	CHARLES SCHWAB & CO., INC.	Aug 19, 2024	Mar 17, 2025	210	Firm change	RIA to ibd
RM INVESTMENT STRATEGIES, LLC	SEVERIN INVESTMENTS LLC	May 28, 2024	Jun 6, 2024	9	Firm change	RIA to RIA
MORGAN STANLEY	RM INVESTMENT STRATEGIES, LLC	Sep 13, 2023	Apr 5, 2024	205	Firm change	Wirehouse to RIA

Relationships

Registered with (4)

→ CHARLES SCHWAB & CO., INC.Registered adviserregistration: current employment
Mar 17, 2025 to presentfactForm ADV
→ SEVERIN INVESTMENTS LLCRegistered adviserregistration: previous registration
Jun 6, 2024 to Aug 19, 2024factForm ADV
→ RM INVESTMENT STRATEGIES, LLCRegistered adviserregistration: previous registration
Apr 5, 2024 to May 28, 2024factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Mar 11, 2022 to Sep 13, 2023factForm ADV

Dated events

Occurred
Aug 19, 2024
Advisor changed firm
Anthony Caiola left Severin Investments Llc for Charles Schwab & Co., Inc. (registered 2025-03-17)
Form ADVobserved 5 days ago
Occurred
May 28, 2024
Advisor changed firm
Anthony Caiola left Rm Investment Strategies, Llc for Severin Investments Llc (registered 2024-06-06)
Form ADVobserved 5 days ago
Occurred
Sep 13, 2023
Advisor changed firm
Anthony Caiola left Morgan Stanley for Rm Investment Strategies, Llc (registered 2024-04-05)
Form ADVobserved 5 days ago