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

Justin Kwok

Charles Schwab & Co., Inc.national BDNewport Beach, Ca dual registrantIAPD 5602967

Feed of 09/14/2026

Also filed as Justin Kwun To Kwok

At current firm

0 y

since Jun 23, 2026

In the industry

17 y

since Jan 6, 2009 (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

Charles Schwab & Co., Inc. national BD current
since Jun 23, 2026 · San Mateo, Ca
Rockefeller Capital Management BD affiliated
May 14, 2024 to Jun 5, 2026 · San Francisco, Ca
Morgan Stanley wirehouse
Oct 30, 2017 to May 21, 2024 · Monterey, Ca
Hsbc Securities (USA) Inc. BD affiliated
Apr 7, 2016 to Oct 18, 2017 · San Francisco, Ca
Wells Fargo Advisors wirehouse
Jan 3, 2011 to Apr 6, 2016 · San Francisco, Ca
Wells Fargo Investments, LLC unclassified
Nov 18, 2009 to Jan 3, 2011 · San Francisco, Ca
Wells Fargo Investments, LLC unclassified
Jan 7, 2009 to Jun 23, 2009 · South San Francisco, Ca

Moves

a registration end followed by a registration begin elsewhere

Rockefeller Capital Management to Charles Schwab & Co., Inc.
left Jun 5, 2026, registered Jun 23, 2026 (18 days) · Affiliated broker-dealer or bank to another
Morgan Stanley to Rockefeller Capital Management
left May 21, 2024, registered May 14, 2024 (-7 days) · Wirehouse to affiliated broker-dealer or bank
Hsbc Securities (USA) Inc. to Morgan Stanley
left Oct 18, 2017, registered Oct 30, 2017 (12 days) · Other
Wells Fargo Advisors to Hsbc Securities (USA) Inc.
left Apr 6, 2016, registered Apr 7, 2016 (1 days) · Other
Wells Fargo Investments, LLC to Wells Fargo Advisors
left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move

Signals

Justin Kwok left Rockefeller Capital Management for Charles Schwab & Co., Inc. (registered 2026-06-23)
Jun 5, 2026 · Advisor changed firm · fact
Justin Kwok left Morgan Stanley for Rockefeller Capital Management (registered 2024-05-14)
May 21, 2024 · 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: 17derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address