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
Brandon Joseph Schwab
Feed of 09/14/2026
Also filed as Brandon Joseph Schwab
At current firm
3 y
since May 19, 2023
In the industry
20 y
since Feb 10, 2006 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- Sequoia Financial Group, L.L.C. independent RIA currentsince May 19, 2023 · Akron, Oh
- F L Putnam Investment Management Co. independent RIAFeb 2, 2022 to May 1, 2023 · Lynnfield, Ma
- Eaton Vance Wateroak Advisors formerJan 29, 2019 to Sep 8, 2021 · Boston, Ma
- J.P. Morgan Securities LLC wirehouseJul 25, 2017 to Aug 1, 2018 · Windermere, Fl
- UBS Financial Services Inc. wirehouseDec 15, 2014 to Jul 10, 2017 · Jacksonville, Fl
Moves
a registration end followed by a registration begin elsewhere
- F L Putnam Investment Management Co. to Sequoia Financial Group, L.L.C.left May 1, 2023, registered May 19, 2023 (18 days) · RIA to RIA
- Eaton Vance Wateroak Advisors to F L Putnam Investment Management Co.left Sep 8, 2021, registered Feb 2, 2022 (147 days) · RIA to RIA
- J.P. Morgan Securities LLC to Eaton Vance Wateroak Advisorsleft Aug 1, 2018, registered Jan 29, 2019 (181 days) · Wirehouse to independent RIA
- UBS Financial Services Inc. to J.P. Morgan Securities LLCleft Jul 10, 2017, registered Jul 25, 2017 (15 days) · Wirehouse to wirehouse
Signals
- Brandon Joseph Schwab left F L Putnam Investment Management Co. for Sequoia Financial Group, L.L.C. (registered 2023-05-19)May 1, 2023 · 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
- Independent wealth managerderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address