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.

Registered advisor

Neal R Goby

Charles Schwab & Co., Inc.national BDChicago, Ildual registrantIAPD 2777454

Feed of 09/14/2026

Also filed as Neal Robert Goby

At current firm

3 y

since Aug 15, 2023

In the industry

27 y

since Dec 7, 1998 (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

Charles Schwab & Co., Inc. national BD current
since Aug 15, 2023 · Chicago, Il
Td Ameritrade Investment Management, LLC former
Oct 13, 2022 to Sep 7, 2023 · Chicago, Il
Citigroup Global Markets Inc. BD affiliated
Apr 28, 2022 to Sep 28, 2022 · Chicago, Il
Td Ameritrade, Inc. former
Mar 4, 2022 to Apr 14, 2022 · Chicago, Il
Fifth Third Securities, Inc. BD affiliated
Aug 27, 2019 to Aug 21, 2020 · Chicago, Il
Charles Schwab & Co., Inc. national BD
Sep 8, 2015 to Aug 27, 2019 · Chicago, Il
Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse
Jun 28, 2012 to Aug 18, 2015 · Chicago, Il
Mesirow Financial Investment Management, Inc. mixed wealth
Jan 4, 2010 to Mar 28, 2012 · Chicago, Il
Mesirow Financial, Inc. unclassified
Jun 11, 2009 to Dec 31, 2009 · Chicago, Il
Lasalle Financial Services, Inc. unclassified
Jan 28, 2003 to Feb 20, 2007 · Chicago, Il

Moves

a registration end followed by a registration begin elsewhere

Td Ameritrade Investment Management, LLC to Charles Schwab & Co., Inc.
left Sep 7, 2023, registered Aug 15, 2023 (-23 days) · corporate re-registration, not a move
Citigroup Global Markets Inc. to Td Ameritrade Investment Management, LLC
left Sep 28, 2022, registered Oct 13, 2022 (15 days) · Affiliated broker-dealer or bank to independent RIA
Td Ameritrade, Inc. to Citigroup Global Markets Inc.
left Apr 14, 2022, registered Apr 28, 2022 (14 days) · Other
Fifth Third Securities, Inc. to Td Ameritrade, Inc.
left Aug 21, 2020, registered Mar 4, 2022 (560 days) · Other
Charles Schwab & Co., Inc. to Fifth Third Securities, Inc.
left Aug 27, 2019, registered Aug 27, 2019 (0 days) · Affiliated broker-dealer or bank to another
Merrill Lynch, Pierce, Fenner & Smith Incorporated to Charles Schwab & Co., Inc.
left Aug 18, 2015, registered Sep 8, 2015 (21 days) · Wirehouse to affiliated broker-dealer or bank
Mesirow Financial Investment Management, Inc. to Merrill Lynch, Pierce, Fenner & Smith Incorporated
left Mar 28, 2012, registered Jun 28, 2012 (92 days) · Other
Mesirow Financial, Inc. to Mesirow Financial Investment Management, Inc.
left Dec 31, 2009, registered Jan 4, 2010 (4 days) · Other
Lasalle Financial Services, Inc. to Mesirow Financial, Inc.
left Feb 20, 2007, registered Jun 11, 2009 (842 days) · Other

Signals

Neal R Goby left Citigroup Global Markets Inc. for Td Ameritrade Investment Management, Llc (registered 2022-10-13)
Sep 28, 2022 · Advisor changed firm · fact
Neal R Goby left Td Ameritrade, Inc. for Citigroup Global Markets Inc. (registered 2022-04-28)
Apr 14, 2022 · 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: National broker-dealer RIAderived
Years in industry: 27derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address