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.

Advisor moves

Departures from RBC Securities, Inc.

A move is two dates on IAPD: the day a person’s registration through one firm ended and the day a registration through another began. The type reads the class of each firm. This is the movement tape the mobility research is validated against; it says what happened, never why, and never who is about to.

AdvisorFromToTypeLeftRegistered
Xavier Oliver SteinerRBC Securities, Inc. BD affiliatedRaymond James & Associates, Inc. national BDAffiliated broker-dealer or bank to anotherJul 16, 2026Jul 7, 2026
Matthew GuilloryRBC Securities, Inc. BD affiliatedLPL Financial LLC BD affiliatedAffiliated broker-dealer or bank to anotherJul 16, 2026Aug 19, 2026 (34 d)
Gregory Thomas BrunckRBC Securities, Inc. BD affiliatedRBC Rochdale, LLC BD affiliatedAffiliated broker-dealer or bank to anotherJul 10, 2026Jul 13, 2026
John Christopher VizcarraRBC Securities, Inc. BD affiliatedRaymond James & Associates, Inc. national BDAffiliated broker-dealer or bank to anotherJun 10, 2026May 12, 2026
Sameer FerrellRBC Securities, Inc. BD affiliatedAdvice And Planning Services BD affiliatedAffiliated broker-dealer or bank to anotherJun 9, 2026Jun 12, 2026
Sylvia GarciaRBC Securities, Inc. BD affiliatedRaymond James & Associates, Inc. national BDAffiliated broker-dealer or bank to anotherJun 9, 2026May 12, 2026
Fred Giordan GrischottRBC Securities, Inc. BD affiliatedRaymond James & Associates, Inc. national BDAffiliated broker-dealer or bank to anotherJun 9, 2026May 12, 2026
Anthony Edward RodriguezRBC Securities, Inc. BD affiliatedRaymond James & Associates, Inc. national BDAffiliated broker-dealer or bank to anotherJun 9, 2026May 12, 2026
Michael Anthony LangeRBC Securities, Inc. BD affiliatedFirst Citizens Investor Services, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherJan 29, 2026Feb 6, 2026
Anthony St Stephen RichardsonRBC Securities, Inc. independent RIACitigroup Global Markets Inc. BD affiliatedRIA to affiliated broker-dealer or bankSep 29, 2025Sep 23, 2025
Albert DiazRBC Securities, Inc. independent RIARBC Rochdale, LLC BD affiliatedRIA to affiliated broker-dealer or bankSep 9, 2025Sep 5, 2025
Marques J DicksonRBC Securities, Inc. independent RIAAmeriprise Financial Services, LLC national BDRIA to affiliated broker-dealer or bankAug 1, 2025Jul 18, 2025
Joshua Steven GelberRBC Securities, Inc. independent RIATruist Advisory Services, Inc. BD affiliatedRIA to affiliated broker-dealer or bankJul 11, 2025Jun 30, 2025
Colin C BeamishRBC Securities, Inc. independent RIALPL Financial LLC BD affiliatedRIA to affiliated broker-dealer or bankApr 25, 2025Apr 9, 2025
Nicole ShaoRBC Securities, Inc. independent RIACetera Investment Advisers LLC BD affiliatedRIA to affiliated broker-dealer or bankApr 25, 2025Apr 30, 2025
Raymundo FloresRBC Securities, Inc. independent RIAClifford Swan Investment Counselors independent RIARIA to RIAMar 31, 2025Jun 30, 2025 (91 d)
Charles Ray BrownRBC Securities, Inc. independent RIARaymond James & Associates, Inc. national BDRIA to affiliated broker-dealer or bankMar 26, 2025Mar 13, 2025
Michael Jeffrey RichardsRBC Securities, Inc. independent RIAAxos Invest, Inc independent RIARIA to RIAMar 25, 2025Apr 8, 2025
Sarah SchermerhornRBC Securities, Inc. independent RIARBC Capital Markets, LLC national BDRIA to affiliated broker-dealer or bankMar 12, 2025Mar 12, 2025
Adam GourleyRBC Securities, Inc. independent RIAMariner Advisor Network BD affiliatedRIA to affiliated broker-dealer or bankFeb 28, 2025May 30, 2025 (91 d)
Nicholas BarnettRBC Securities, Inc. independent RIAWells Fargo Advisors wirehouseRIA to wirehouseFeb 27, 2025Feb 6, 2025
Thomas George DolbyRBC Securities, Inc. independent RIASchwab Wealth Advisory, Inc. no RAUMOtherJan 24, 2025Jul 3, 2025 (160 d)
Paul Alexander CouchRBC Securities, Inc. independent RIAWells Fargo Advisors wirehouseRIA to wirehouseSep 6, 2024Aug 8, 2024
Alex GitelsonRBC Securities, Inc. independent RIAMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseRIA to wirehouseAug 9, 2024Aug 21, 2024
Shane Lee RogersRBC Securities, Inc. independent RIAU.S. Bancorp Investments, Inc. BD affiliatedRIA to affiliated broker-dealer or bankJul 25, 2024Aug 21, 2024
Zara GuiviRBC Securities, Inc. independent RIAD.A. Davidson & Co. independent RIARIA to RIAJul 25, 2024Jun 27, 2024
John Robert HellerRBC Securities, Inc. independent RIACetera Investment Advisers LLC BD affiliatedRIA to affiliated broker-dealer or bankJun 26, 2024Jun 24, 2024
Peter ManziRBC Securities, Inc. independent RIAMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseRIA to wirehouseJun 7, 2024Jun 26, 2024
Lharmina T CastroRBC Securities, Inc. independent RIAMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseRIA to wirehouseMay 31, 2024Jun 13, 2024
Destin E ThomasRBC Securities, Inc. independent RIAMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseRIA to wirehouseMay 31, 2024Jul 12, 2024 (42 d)
Michael R BurtRBC Securities, Inc. independent RIAMorgan Stanley wirehouseRIA to wirehouseFeb 28, 2024Jan 31, 2024
Keith Walter MaceyRBC Securities, Inc. independent RIAJ.P. Morgan Securities LLC wirehouseRIA to wirehouseFeb 2, 2024Jan 31, 2024
Ji Hye ChoRBC Securities, Inc. independent RIAMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseRIA to wirehouseJan 12, 2024Jan 23, 2024
Jimmy Ernesto TorresRBC Securities, Inc. independent RIARaymond James & Associates, Inc. national BDRIA to affiliated broker-dealer or bankNov 16, 2023Jan 3, 2024 (48 d)
Samuel RamosRBC Securities, Inc. independent RIALPL Financial LLC BD affiliatedRIA to affiliated broker-dealer or bankNov 3, 2023Jan 1, 2025 (425 d)
John M. IannacoRBC Securities, Inc. independent RIAJ.P. Morgan Securities LLC wirehouseRIA to wirehouseNov 3, 2023Dec 4, 2023 (31 d)
Rosemary Carolina AbreuRBC Securities, Inc. independent RIALPL Financial LLC BD affiliatedRIA to affiliated broker-dealer or bankNov 3, 2023Dec 6, 2023 (33 d)
Adam Richard JohnsonRBC Securities, Inc. independent RIAJ.P. Morgan Securities LLC wirehouseRIA to wirehouseNov 3, 2023Oct 31, 2023
Steven James StauffRBC Securities, Inc. independent RIAIeq Capital, LLC independent RIARIA to RIASep 15, 2023Sep 6, 2023
Justin KoroyanRBC Securities, Inc. independent RIAJ.P. Morgan Securities LLC wirehouseRIA to wirehouseAug 18, 2023Aug 2, 2023
Christopher Joseph CalagnaRBC Securities, Inc. independent RIALPL Financial LLC BD affiliatedRIA to affiliated broker-dealer or bankJun 9, 2023Feb 5, 2024 (241 d)
James Peter BarbaraRBC Securities, Inc. independent RIALeucadia Asset Management LLC mixed wealthRIA to RIAMay 23, 2023May 10, 2023
Brian D BeldhamRBC Securities, Inc. independent RIARBC Rochdale, LLC BD affiliatedRIA to affiliated broker-dealer or bankMay 23, 2023Jan 25, 2022
Ricardo KongRBC Securities, Inc. independent RIARBC Rochdale, LLC BD affiliatedRIA to affiliated broker-dealer or bankApr 19, 2023Apr 17, 2023
Robert Dale MayberryRBC Securities, Inc. independent RIATruist Advisory Services, Inc. BD affiliatedRIA to affiliated broker-dealer or bankJan 18, 2023Jan 17, 2023
Alan I WolbergRBC Securities, Inc. independent RIALeucadia Asset Management LLC mixed wealthRIA to RIANov 28, 2022Nov 30, 2022
Nate ElishaRBC Securities, Inc. independent RIAJ.P. Morgan Securities LLC wirehouseRIA to wirehouseJun 6, 2022Jun 10, 2022
Abraham LopezRBC Securities, Inc. independent RIACuso Financial Services, L.P. BD affiliatedRIA to affiliated broker-dealer or bankMay 9, 2022May 10, 2022
Kennon Rene MccarthyRBC Securities, Inc. independent RIAMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseRIA to wirehouseMar 21, 2022Jan 18, 2024 (668 d)
Michael Clement FrazierRBC Securities, Inc. independent RIALPL Financial LLC BD affiliatedRIA to affiliated broker-dealer or bankMar 21, 2022Feb 7, 2025 (1054 d)
Shizhan ZhangRBC Securities, Inc. independent RIABlackrock Investment Management, LLC otherOtherMar 14, 2022Aug 23, 2023 (527 d)
Scott Nathan BrodyRBC Securities, Inc. independent RIAVested Finance no RAUMOtherFeb 2, 2022Mar 3, 2022
Alma E LazaroRBC Securities, Inc. independent RIAMorgan Stanley wirehouseRIA to wirehouseJan 26, 2022Aug 1, 2022 (187 d)
M Diane Jefferies WakefieldRBC Securities, Inc. independent RIAAmeriprise Financial Services, LLC national BDRIA to affiliated broker-dealer or bankNov 19, 2021Jun 30, 2025 (1319 d)
Scott WileyRBC Securities, Inc. independent RIAComerica Securities bank affiliatedOtherOct 6, 2021Oct 4, 2021
Joseph ByunRBC Securities, Inc. independent RIAUBS Financial Services Inc. wirehouseRIA to wirehouseOct 6, 2021Oct 13, 2021
Laurel A NelsonRBC Securities, Inc. independent RIANeuberger Berman Bd LLC no RAUMOtherJun 22, 2021Jul 8, 2021
Robert Nicholas LakosilRBC Securities, Inc. independent RIANorthwestern Mutual Investment Services,LLC no RAUMOtherFeb 24, 2021Jan 1, 2026 (1772 d)
Samuel Shou Iue HwangRBC Securities, Inc. independent RIAAis Asset Management state registeredRIA to a state-registered adviserFeb 2, 2021Feb 18, 2021
Catrina Nicole KnoxRBC Securities, Inc. independent RIAMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseRIA to wirehouseDec 1, 2020Jan 21, 2021 (51 d)
Page 1 of 2Next
107 moves match.