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.
SEC-registered adviser
Charles Schwab & Co., Inc.
Latest filing Sep 17, 2026
First filing on the tape Dec 2, 2011 · 121 filings
SEC status approved since Jul 24, 1987
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
6,783
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
30,690
4,127 advisory (5.B.1)
Offices
449
beyond the principal office
Private funds
0
reported on Schedule D
History
121 filings and snapshots on the tape
RAUM$0 as of Jun 29, 2026
Feb 14, 2025$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)6,584 as of Jun 29, 2026
Mar 30, 20120 then
Employees (5.A)30,690 as of Jun 29, 2026
Apr 1, 201312,300 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 6,145 to 6,584offices 448 to 449
Practice profile
derived from the filing of Sep 17, 2026; every figure names its basis
Archetypes, each a printed rule
- Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
- Planning-led practice · financial planning activity (5.G.1), at least 100 financial planning clients (5.H), and hourly, fixed or subscription compensation (5.E)
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- unknownderivedRAUM over accounts (5.F.2.f)
- Discretionary
- unknownderivedof RAUM
- Institutional
- unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 4.5derivedItem 5.A over advisors
- Advisors per office
- 15.1derived450 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- +7.1%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, selection of other advisers, otherreportedItem 5.G
- Financial planning clients
- 32,000reportedItem 5.H
- Wrap fee program
- participatesreportedItem 5.I
- Custody
- $437B, 819,899 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- is a broker-dealer (6.A.1)
- is an insurance broker or agent (6.A.6)
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- the adviser acts as qualified custodian (9.D.1)
- a related person acts as qualified custodian (9.D.2)
- marketing includes testimonials (5.L.1.c)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- n/areported
- Financial planning clients
- 32,000reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $437B for 819,899 clientsreported
- Compensation
- fixedreported
- Class basis
- curated national broker-dealer listderived
Advisors registered through the firm
6,783 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| James Mitchell Pryor | Midland, Tx | Dec 3, 1987 | 39 y | 0 |
| Kevin Scott BoriackCertified Financial Planner | San Antonio, Tx | Nov 28, 1990 | 36 y | 0 |
| Vicki Lynn Byrd | Houston, Tx | Dec 16, 1993 | 37 y | 0 |
| Brian Vincent Esposito | Palm Beach Gardens, Fl | Jan 13, 1994 | 33 y | 0 |
| Elizabeth Viola Ashmawee | Houston, Tx | Jun 23, 1994 | 32 y | 0 |
| Michael Read HaugheryCertified Financial Planner | Mountain Brook, Al | Feb 10, 1997 | 34 y | 0 |
| David Craig Libler | Reno, Nv | Feb 26, 1997 | 34 y | 0 |
| William Kirk Richardson | The Woodlands, Tx | May 16, 1997 | 30 y | 0 |
| Terry Glenn Flesher | Bee Cave, Tx | Jun 30, 1997 | 29 y | 0 |
| Jim Wayne Hamari | San Luis Obispo, Ca | Jul 8, 1997 | 36 y | 0 |
| Lan Tracy Zhang | Menlo Park, Ca | Jul 8, 1997 | 33 y | 0 |
| Georgina Jui | Dublin, Ca | Jul 8, 1997 | 37 y | 0 |
| Aiyun Zong | Cupertino, Ca | Jul 8, 1997 | 29 y | 0 |
| Loren Albert Kertz | Corte Madera, Ca | Jul 8, 1997 | 33 y | 0 |
| Mary Yukwah LaiCertified Financial Planner | Cupertino, Ca | Jul 8, 1997 | 30 y | 0 |
| David Lawrence Hess | Thousand Oaks, Ca | Jul 8, 1997 | 34 y | 0 |
| Daniel Joseph Miller | Phoenix, Az | Jul 8, 1997 | 35 y | 0 |
| William Mykel Schrader | Corte Madera, Ca | Jul 8, 1997 | 38 y | 0 |
| Walter Ora Bennett | Santa Rosa, Ca | Jul 8, 1997 | 35 y | 0 |
| Randy D Schechter | San Diego, Ca | Jul 8, 1997 | 39 y | 0 |
| Jeffrey Alan StubbertCertified Financial Planner | Newport Beach, Ca | Jul 8, 1997 | 33 y | 0 |
| Bela Ernst Palfalvi | Cupertino, Ca | Jul 8, 1997 | 34 y | 1 |
| John Walter Thomas | Thousand Oaks, Ca | Jul 8, 1997 | 33 y | 1 |
| Michael N Chow | Arcadia, Ca | Jul 8, 1997 | 34 y | 0 |
| Jeffrey Gerald Davies | Spokane, Wa | Aug 29, 1997 | 33 y | 0 |
| Donna J Niemann | Los Angeles, Ca | Dec 15, 1997 | 29 y | 0 |
| Keith Charles Draehn | Katy, Tx | Dec 19, 1997 | 29 y | 0 |
| David L Russakov | Dallas, Tx | Feb 5, 1998 | 28 y | 0 |
| Brett Anthony Winter | Wichita, Ks | Feb 10, 1998 | 33 y | 0 |
| Stella S Hui | San Diego, Ca | Jan 8, 1999 | 28 y | 0 |
| David Ying-Kit Yu | Richfield, Oh | Jan 25, 1999 | 28 y | 0 |
| Edward Joseph Power | Boston, Ma | Jan 29, 1999 | 34 y | 0 |
| Christine J Lee | Pasadena, Ca | Feb 22, 1999 | 28 y | 0 |
| Barry Lee Tallman | Tampa, Fl | Apr 19, 1999 | 28 y | 0 |
| Armando Jose Jaen | Coral Gables, Fl | May 19, 1999 | 27 y | 0 |
| Scott Anthony Jeamel | West Hartford, Ct | Jul 12, 1999 | 37 y | 0 |
| Suki None Lee | Sunnyvale, Ca | Jul 29, 1999 | 34 y | 0 |
| Paul E SchreiberCertified Financial Planner | Fremont, Ca | Aug 17, 1999 | 29 y | 0 |
| Jay L GentryCertified Financial Planner | Carmel, In | Sep 29, 1999 | 30 y | 0 |
| David S Rosenfeld | Sandy Springs, Ga | Oct 11, 1999 | 27 y | 0 |
Advisor movement
258 left, 390 joined in 12 months
net +132 in 12 months71 left in 90 days82 joined in 90 daysdeparture rate 3.8% of current headcount1,087 left over 36 months
Left, latest
- Robert Thomas Burke St Claire to Cfo4lifeSep 16, 2026 · Affiliated broker-dealer or bank to independent RIA
- Matthew Jackson Arnold to J.P. Morgan Securities LLCSep 16, 2026 · Affiliated broker-dealer or bank to wirehouse
- Christopher Mikell to Citizens Securities, Inc.Sep 5, 2026 · Affiliated broker-dealer or bank to another
- Albert Yousoufian to Wells Fargo AdvisorsSep 5, 2026 · Affiliated broker-dealer or bank to wirehouse
- Benjamin Mitchell Brown to Calton & Associates, Inc.Sep 3, 2026 · Affiliated broker-dealer or bank to independent RIA
- Ryan Garrett Helm to Edward JonesSep 3, 2026 · Affiliated broker-dealer or bank to another
- Ebram Emad Wissa to Fisher InvestmentsSep 1, 2026 · Affiliated broker-dealer or bank to independent RIA
- Mickale Weshon Gilbert to Lord And RichardsSep 1, 2026 · Affiliated broker-dealer or bank to independent RIA
- Taylor James Jay to Sharkey Howes & Javer IncAug 29, 2026 · Affiliated broker-dealer or bank to independent RIA
- Ryleigh Williams to Alliancebernstein L.P.Aug 29, 2026 · Other
- Jason Clark to Empower Advisory Group, LLCAug 27, 2026 · Affiliated broker-dealer or bank to another
- David J Newman to Morgan StanleyAug 25, 2026 · Affiliated broker-dealer or bank to wirehouse
- Joshua Ross Norton to Vanguard Advisers, Inc.Aug 25, 2026 · Affiliated broker-dealer or bank to another
- David Sessions to Schwab Wealth Advisory, Inc.Aug 20, 2026 · Other
- Tucker Max Smith to Schwab Wealth Advisory, Inc.Aug 20, 2026 · Other
Joined, latest
- Caleb Porter Buddington from Equitable Advisors, LLCSep 17, 2026 · Affiliated broker-dealer or bank to another
- Micah Mendillo from Morgan StanleySep 16, 2026 · Wirehouse to affiliated broker-dealer or bank
- Alex Lima from Merrill Lynch, Pierce, Fenner & Smith IncorporatedSep 16, 2026 · Wirehouse to affiliated broker-dealer or bank
- Xiaping Lin from Merrill Lynch, Pierce, Fenner & Smith IncorporatedSep 15, 2026 · Wirehouse to affiliated broker-dealer or bank
- Mohammad Ali Rasheed from Wells Fargo AdvisorsSep 14, 2026 · Wirehouse to affiliated broker-dealer or bank
- Khoi Duong from Merrill Lynch, Pierce, Fenner & Smith IncorporatedSep 14, 2026 · Wirehouse to affiliated broker-dealer or bank
- Christopher Lala from UBS Financial Services Inc.Sep 14, 2026 · Wirehouse to affiliated broker-dealer or bank
- George J Christodoulou from Edward JonesSep 4, 2026 · Affiliated broker-dealer or bank to another
- Carolyn Smith Link from &PartnersSep 4, 2026 · RIA to affiliated broker-dealer or bank
- John Mcgillewie from Frost Investment ServicesSep 3, 2026 · Affiliated broker-dealer or bank to another
- Bruno Faria Amoroso from Schwab Wealth Advisory, Inc.Sep 3, 2026 · Other
- Donovan Axel Morris from Morgan StanleySep 3, 2026 · Wirehouse to affiliated broker-dealer or bank
- Christian Eckert from Wells Fargo AdvisorsSep 1, 2026 · Wirehouse to affiliated broker-dealer or bank
- Kenton Kermit Ketchum from Morgan StanleyAug 31, 2026 · Wirehouse to affiliated broker-dealer or bank
- William D Weldon from Merrill Lynch, Pierce, Fenner & Smith IncorporatedAug 28, 2026 · Wirehouse to affiliated broker-dealer or bank
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for Vanguard Advisers, Inc.Aug 5, 2026 · Westlake, Tx
- 3 left for J.P. Morgan Securities LLCJul 2, 2026 · San Diego, Ca
- 2 left for J.P. Morgan Securities LLCFeb 18, 2026 · Dallas, Tx
- 2 left for Vanguard Advisers, Inc.Nov 28, 2025 · Phoenix, Az
- 2 left for J.P. Morgan Securities LLCOct 17, 2025 · Pasadena, Ca
- 2 left for Wells Fargo AdvisorsSep 3, 2025 · Seal Beach, Ca
- 2 left for Evergreen Wealth AdvisorsAug 12, 2025 · Westlake, Tx
- 2 left for Vanguard Advisers, Inc.Jul 21, 2025 · Westlake, Tx
- 2 joined from Merrill Lynch, Pierce, Fenner & Smith IncorporatedAug 10, 2026 · New York, Ny
- 2 joined from Merrill Lynch, Pierce, Fenner & Smith IncorporatedJul 20, 2026 · Torrance, Ca
- 6 joined from Strategic Advisers LLCJul 13, 2026 · Boston, Ma
- 4 joined from Strategic Advisers LLCJun 11, 2026 · Boston, Ma
- 2 joined from Wells Fargo AdvisorsJun 10, 2026 · Magnolia, Tx
- 2 joined from Morgan StanleyApr 20, 2026 · Sacramento, Ca
- 20 joined from Strategic Advisers LLCMar 20, 2026 · Boston, Ma
- 2 joined from Empower Advisory Group, LLCMar 18, 2026 · Greenwood Village, Co
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Jonathan Scott Beatty · Managing Director - Head Of Advisor Servicescontrolsince 07/2024 · owns less than 5%
- Jonathan M Craig · Director And Head Of Investor Services And Marketingcontrolsince 05/2023 · owns less than 5%
- Neesha K Hathi · Managing Director Head Of Wealth & Advice Solutionscontrolsince 01/2023 · owns less than 5%
- Jeffrey Harold Starr · Managing Director, And Operational Services And Principal Operations Officercontrolsince 01/2020 · owns less than 5%
- Michael Daniel Verdeschi · Managing Director And Chief Financial Officer And Principal Financial Officer, Directorcontrolsince 10/2024 · owns less than 5%
- Richard Andrew Wurster · President, Directorcontrolsince 10/2021 · owns less than 5%
- Dennis Willard Howard · Managing Director And Chief Information Officersince 05/2017 · owns less than 5%
- Charles Nichols · Managing Director And Broker Dealer & Investment Advisor Chief Compliance Officersince 07/2023 · owns less than 5%
Entity owners
- Schwab Holdings, Inc. · 100% Ownerdirect · owns 75% or more
- The Charles Schwab Corporation · Shareholderindirect · owns 75% or more of Schwab Holdings, Inc. · public reporting company
Related persons
Schedule D 7.A
- Charles Schwab Bank, Ssbcustodiann
- Charles Schwab Futures And Forex LLCtrust companyn
- Charles Schwab Investment Management, Incinvestment adviserbanknRAUM $1721B
- Charles Schwab Premier Bank, Ssbcustodiann
- Charles Schwab Trust Bankbankcustodiann
- Charles Schwab Trust Companyn
- Charles Schwab Trust Company Of Delawaren
- Charles Schwab, Hong Kong, Limitedbroker-dealern
- Charles Schwab, U.K., Limitedbroker-dealern
- Schwab Wealth Advisory, Inc.investment advisern
Advisers that list Charles Schwab & Co., Inc. as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Westlake, Tx | 1,076 | 170 | 39 | 2 | |
| Lone Tree, Co | 686 | 87 | 15 | ||
| Phoenix, Az | 584 | 70 | 19 | 1 | |
| Omaha, Ne | 291 | 46 | 7 | ||
| Austin, Tx | 260 | 44 | 6 | 1 | |
| Orlando, Fl | 257 | 66 | 8 | ||
| Indianapolis, In | 228 | 34 | 8 | ||
| Chicago, Il | 129 | 18 | 3 | ||
| New York City, Ny | 110 | 25 | 0 | ||
| Richfield, Oh | 100 | 8 | 2 | ||
| St Louis, Mo | 90 | 23 | 7 | 1 | |
| San Francisco, Ca · principal | 85 | 4 | 0 | ||
| Scottsdale, Az | 80 | 9 | 0 | ||
| San Antonio, Tx | 66 | 2 | 1 | ||
| San Diego, Ca | 66 | 6 | 3 | 1 | |
| Newport Beach, Ca | 49 | 8 | 1 | ||
| Boston, Ma | 48 | 8 | 1 | ||
| Houston, Tx | 48 | 2 | 1 | ||
| Los Angeles, Ca | 45 | 11 | 1 | ||
| Atlanta, Ga | 45 | 9 | 3 |
Offices
Schedule D 1.F, the 25 largest
- Westlake, TX733 employees
- Lone Tree, CO517 employees
- Phoenix, AZ396 employees
- Indianapolis, IN195 employees
- Austin, TX161 employees
- Omaha, NE122 employees
- Orlando, FL90 employees
- Chicago, IL81 employees
- Richfield, OH74 employees
- Phoenix, AZ60 employees
- Omaha, NE58 employees
- St Louis, MO53 employees
- Temple Terrace, FL48 employees
- Bellevue, WA40 employees
- San Diego, CA37 employees
- Millburn, NJ29 employees
- Lone Tree, CO27 employees
- Seattle, WA27 employees
- Irvine, CA26 employees
- New York City, NY26 employees
- Menlo Park, CA26 employees
- Cincinnati, OH26 employees
- Orlando, FL25 employees
- Walnut Creek, CA25 employees
- Newport Beach, CA24 employees
What changed
consecutive filings, newest first
- Accounts · 0.0 to unsetJun 29, 2026 to Sep 17, 2026
- Financial planning clients · More than 500 to More than 500Jun 29, 2026 to Sep 17, 2026
- Discretionary RAUM · 0.0 to unsetJun 29, 2026 to Sep 17, 2026
- Non-discretionary RAUM · 0.0 to unsetJun 29, 2026 to Sep 17, 2026
- RAUM · 0.0 to unsetJun 29, 2026 to Sep 17, 2026
- Succession · false to unsetJun 29, 2026 to Sep 17, 2026
- Advisory employees · 3,692 to 4,127Dec 11, 2025 to Mar 30, 2026
- BD registered reps · 16,100 to 16,763Dec 11, 2025 to Mar 30, 2026
- Assets in custody · $370B to $437BDec 11, 2025 to Mar 30, 2026
- Employees · 30,065 to 30,690Dec 11, 2025 to Mar 30, 2026
- HQ city · LONE TREE to SAN FRANCISCODec 11, 2025 to Mar 30, 2026
- HQ state · CO to CADec 11, 2025 to Mar 30, 2026
- State-registered IARs · 6,145 to 6,584Dec 11, 2025 to Mar 30, 2026
- Other offices · 448 to 449Dec 11, 2025 to Mar 30, 2026
- HQ city · SAN FRANCISCO to LONE TREESep 23, 2025 to Dec 11, 2025
- HQ state · CA to COSep 23, 2025 to Dec 11, 2025
- Financial planning clients · More than 500 to More than 500Apr 4, 2025 to Jun 30, 2025
- Advisory employees · 3,564 to 3,692Feb 14, 2025 to Apr 4, 2025
- BD registered reps · 15,186 to 16,100Feb 14, 2025 to Apr 4, 2025
- Assets in custody · $327B to $370BFeb 14, 2025 to Apr 4, 2025
- Employees · 29,350 to 30,065Feb 14, 2025 to Apr 4, 2025
- State-registered IARs · 3,564 to 6,145Feb 14, 2025 to Apr 4, 2025
- Accounts · unset to 0.0Nov 27, 2024 to Feb 14, 2025
- Discretionary RAUM · unset to 0.0Nov 27, 2024 to Feb 14, 2025
- Non-discretionary RAUM · unset to 0.0Nov 27, 2024 to Feb 14, 2025
- RAUM · unset to 0.0Nov 27, 2024 to Feb 14, 2025
- Advisory employees · 3,677 to 3,564Oct 31, 2023 to Mar 29, 2024
- BD registered reps · 13,081 to 15,186Oct 31, 2023 to Mar 29, 2024
- Assets in custody · $285B to $327BOct 31, 2023 to Mar 29, 2024
- Employees · 26,596 to 29,350Oct 31, 2023 to Mar 29, 2024
- Insurance-licensed employees · 820 to 0Oct 31, 2023 to Mar 29, 2024
- State-registered IARs · 3,677 to 3,564Oct 31, 2023 to Mar 29, 2024
- Other offices · 356 to 448Oct 31, 2023 to Mar 29, 2024
- Advisory employees · 2,610 to 3,677Sep 29, 2022 to Mar 31, 2023
- BD registered reps · 9,215 to 13,081Sep 29, 2022 to Mar 31, 2023
- Assets in custody · $319B to $285BSep 29, 2022 to Mar 31, 2023
- Employees · 22,914 to 26,596Sep 29, 2022 to Mar 31, 2023
- Insurance-licensed employees · 117 to 820Sep 29, 2022 to Mar 31, 2023
- State-registered IARs · 2,610 to 3,677Sep 29, 2022 to Mar 31, 2023
- Other offices · 351 to 356Sep 29, 2022 to Mar 31, 2023
Signals
60 dated events
- Teresa Q M Tanaka no longer holds an investment adviser registration (last listed at Charles Schwab & Co., Inc. on the 2026-09-17 feed)Sep 17, 2026 · Advisor registration ended · derived
- Nicholas James Barnwell no longer holds an investment adviser registration (last listed at Charles Schwab & Co., Inc. on the 2026-09-17 feed)Sep 17, 2026 · Advisor registration ended · derived
- Hugo Roman Jr registered as an investment adviser representative at Charles Schwab & Co., Inc.Sep 17, 2026 · Advisor registered · fact
- Preston Gabriel Davis-Garcia registered as an investment adviser representative at Charles Schwab & Co., Inc.Sep 17, 2026 · Advisor registered · fact
- Caleb Porter Buddington registered as an investment adviser representative at Charles Schwab & Co., Inc.Sep 17, 2026 · Advisor registered · fact
- William L Jones no longer holds an investment adviser registration (last listed at Charles Schwab & Co., Inc. on the 2026-09-16 feed)Sep 16, 2026 · Advisor registration ended · derived
- Jacob Judd Albers no longer holds an investment adviser registration (last listed at Charles Schwab & Co., Inc. on the 2026-09-16 feed)Sep 16, 2026 · Advisor registration ended · derived
- Gregory Lucas Duracinski no longer holds an investment adviser registration (last listed at Charles Schwab & Co., Inc. on the 2026-09-16 feed)Sep 16, 2026 · Advisor registration ended · derived
- Alex Lima registered as an investment adviser representative at Charles Schwab & Co., Inc.Sep 16, 2026 · Advisor registered · fact
- Micah Mendillo registered as an investment adviser representative at Charles Schwab & Co., Inc.Sep 16, 2026 · Advisor registered · fact
- Keith Cameron Kadesky registered as an investment adviser representative at Charles Schwab & Co., Inc.Sep 16, 2026 · Advisor registered · fact
- Jakob Leighton Gilbert registered as an investment adviser representative at Charles Schwab & Co., Inc.Sep 16, 2026 · Advisor registered · fact
- Abudoureheman Aizihaier added a FL registration at Charles Schwab & Co., Inc.Sep 16, 2026 · New state registration · fact
- Robert Thomas Burke St Claire left Charles Schwab & CO., Inc. for Cfo4Life (registered 2026-09-16)Sep 16, 2026 · Advisor changed firm · fact
- Matthew Jackson Arnold left Charles Schwab & CO., Inc. for J.P. Morgan Securities LLC (registered 2026-09-16)Sep 16, 2026 · Advisor changed firm · fact
- Robert Mendenhall Haney no longer holds an investment adviser registration (last listed at Charles Schwab & Co., Inc. on the 2026-09-15 feed)Sep 15, 2026 · Advisor registration ended · derived
- Sebastian Alfonso Lopez no longer holds an investment adviser registration (last listed at Charles Schwab & Co., Inc. on the 2026-09-15 feed)Sep 15, 2026 · Advisor registration ended · derived
- Ian Hagen registered as an investment adviser representative at Charles Schwab & Co., Inc.Sep 15, 2026 · Advisor registered · fact
- Xiaping Lin registered as an investment adviser representative at Charles Schwab & Co., Inc.Sep 15, 2026 · Advisor registered · fact
- Zhixin Tan registered as an investment adviser representative at Charles Schwab & Co., Inc.Sep 15, 2026 · Advisor registered · fact
- Marcus Lee Geisler registered as an investment adviser representative at Charles Schwab & Co., Inc.Sep 14, 2026 · Advisor registered · fact
- Mohammad Ali Rasheed registered as an investment adviser representative at Charles Schwab & Co., Inc.Sep 14, 2026 · Advisor registered · fact
- Andrew Rubio Mendoza registered as an investment adviser representative at Charles Schwab & Co., Inc.Sep 14, 2026 · Advisor registered · fact
- Khoi Duong registered as an investment adviser representative at Charles Schwab & Co., Inc.Sep 14, 2026 · Advisor registered · fact
- Zion Baker registered as an investment adviser representative at Charles Schwab & Co., Inc.Sep 14, 2026 · Advisor registered · fact
- Sophia Truelock registered as an investment adviser representative at Charles Schwab & Co., Inc.Sep 14, 2026 · Advisor registered · fact
- Christopher Lala registered as an investment adviser representative at Charles Schwab & Co., Inc.Sep 14, 2026 · Advisor registered · fact
- Albert Yousoufian left Charles Schwab & Co., Inc. for Wells Fargo Advisors (registered 2026-08-25)Sep 5, 2026 · Advisor changed firm · fact
- Christopher Mikell left Charles Schwab & Co., Inc. for Citizens Securities, Inc. (registered 2026-08-25)Sep 5, 2026 · Advisor changed firm · fact
- Ryan Garrett Helm left Charles Schwab & Co., Inc. for Edward Jones (registered 2026-08-21)Sep 3, 2026 · Advisor changed firm · fact
Across DFX
shared identifiers only, never a name match
- Charles Schwab & Co., Inc. · Private Equityshared crd · intermediary
How to reach
public business contact points only, each with its source
- Firm profile
- LINKEDIN.COM/COMPANY/SCHWAB-ADVISOR-SERVICESreportedpublic record, Form ADV, Sep 18, 2026
- Firm profile
- linkedin.com/company/charles-schwabreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 415-667-7000reportedpublic record, Form ADV, Sep 17, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- National broker-dealer RIAderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026