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.

Advisor	From	To	Type	Left	Registered
Scott Vincent Cheo	RBC Securities, Inc. independent RIA	Wells Fargo Advisors wirehouse	RIA to wirehouse	Nov 24, 2020	Nov 19, 2020
Jeffrey Royce Wingerter	RBC Securities, Inc. independent RIA	Citigroup Global Markets Inc. BD affiliated	RIA to affiliated broker-dealer or bank	Jul 24, 2020	Sep 2, 2020 (40 d)
Gregory A. Crane	RBC Securities, Inc. independent RIA	J.P. Morgan Securities LLC wirehouse	RIA to wirehouse	Jul 2, 2020	Feb 14, 2022 (592 d)
Ryan Charles Olson	RBC Securities, Inc. independent RIA	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	RIA to wirehouse	Mar 17, 2020	Apr 22, 2020 (36 d)
Carlana Gillespie Brown	RBC Securities, Inc. independent RIA	U.S. Bancorp Investments, Inc. BD affiliated	RIA to affiliated broker-dealer or bank	Mar 10, 2020	Mar 30, 2020
Christopher Jon Hays	RBC Securities, Inc. independent RIA	Chris Hays Wealth Management LLC state registered	RIA to a state-registered adviser	Jan 10, 2020	Mar 26, 2020 (76 d)
Hagop Harout Balabanian	RBC Securities, Inc. independent RIA	Deutsche Bank Securities Inc. other	Other	Jun 3, 2019	Jul 9, 2019 (36 d)
Cao Tri Tran	RBC Securities, Inc. independent RIA	Cuna Brokerage Services, Inc. BD affiliated	RIA to affiliated broker-dealer or bank	Mar 4, 2019	Mar 15, 2019
Jeffrey Hennings	RBC Securities, Inc. independent RIA	Northwestern Mutual Investment Services,LLC no RAUM	Other	Mar 1, 2019	Apr 10, 2019 (40 d)
Lisa Khoo Farley	RBC Securities, Inc. independent RIA	Wells Fargo Advisors wirehouse	RIA to wirehouse	Oct 17, 2018	Aug 10, 2026 (2854 d)
Lorraine C. Crawford	RBC Securities, Inc. independent RIA	Western International Securities independent RIA	RIA to RIA	Jul 31, 2018	Aug 10, 2018
Mark H. Hathaway	RBC Securities, Inc. independent RIA	J.P. Morgan Securities LLC wirehouse	RIA to wirehouse	Mar 14, 2018	Sep 29, 2023 (2025 d)
Shawn Jen Hsieh	RBC Securities, Inc. independent RIA	American Financial Network Advisory Services, LLC independent RIA	RIA to RIA	Feb 16, 2018	Feb 20, 2018
Nicholas Charles Smith	RBC Securities, Inc. independent RIA	J.P. Morgan Securities LLC wirehouse	RIA to wirehouse	Feb 13, 2018	Feb 23, 2018
Shaun Skeris	RBC Securities, Inc. other	Steward Partners Investment Solutions, LLC other	Other	Jan 23, 2018	Feb 2, 2018
Alfred Cameron Hunt	RBC Securities, Inc. other	Edward Jones national BD	Other	Jan 16, 2018	Mar 5, 2018 (48 d)
Aubrey Jean Foerster	RBC Securities, Inc. other	RBC Rochdale, LLC BD affiliated	Other	Dec 19, 2017	Dec 17, 2021 (1459 d)
Alyssa Cassidy Do	RBC Securities, Inc. other	Svb Wealth other	Other	Oct 19, 2017	Nov 6, 2017
Olha Sophia Paluch	RBC Securities, Inc. other	Mai Capital Management, LLC independent RIA	Other	Oct 4, 2017	Aug 9, 2021 (1405 d)
Matthew Lincoln Mogush	RBC Securities, Inc. other	Western International Securities other	Other	Jul 5, 2017	Jul 18, 2017
Cory James Boggs	RBC Securities, Inc. other	Manchester Capital Management LLC other	Other	Mar 3, 2017	Nov 20, 2017 (262 d)
Adam Jason Izaac	RBC Securities, Inc. other	RBC Rochdale, LLC other	Other	Jan 4, 2017	Jan 5, 2017
Simone Sabbagh Branigan	RBC Securities, Inc. other	U.S. Bancorp Advisors, LLC other	Other	Mar 16, 2016	Mar 25, 2016
Jeffrey N. Eisfelder	RBC Securities, Inc. other	First Foundation Advisors other	Other	Oct 30, 2015	Nov 20, 2015
Joyce Lee	RBC Securities, Inc. other	First Foundation Advisors other	Other	Oct 30, 2015	Nov 25, 2015
Fernando Reyes	RBC Securities, Inc. other	Ep Wealth Advisors independent RIA	Other	Sep 28, 2015	Mar 24, 2025 (3465 d)
Jason David Roeske	RBC Securities, Inc. other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Other	Sep 15, 2015	Dec 2, 2015 (78 d)
Carine Krikorian	RBC Securities, Inc. other	Wells Fargo Advisors wirehouse	Other	Jul 29, 2015	Jan 4, 2025 (3447 d)
Ernesto Antonio Alvarez	RBC Securities, Inc. other	J.P. Morgan Securities LLC wirehouse	Other	Apr 29, 2015	Jul 12, 2019 (1535 d)
Kevin Michael Hauri	RBC Securities, Inc. other	RBC Rochdale, LLC other	Other	Oct 24, 2014	Oct 23, 2014
Todd Andrew Goldman	RBC Securities, Inc. other	Telemus Capital, LLC other	Other	Sep 30, 2014	Oct 9, 2014
Tony Quang Nguyen	RBC Securities, Inc. other	Seia other	Other	Sep 29, 2014	Jan 6, 2015 (99 d)
Jack Anthony Biedebach	RBC Securities, Inc. other	LPL Financial LLC other	Other	Sep 18, 2014	Sep 18, 2014
John Nathan Sinnema	RBC Securities, Inc. other	U.S. Bancorp Advisors, LLC other	Other	Aug 15, 2014	Oct 9, 2014 (55 d)
Judith Maria Lu	RBC Securities, Inc. other	Composition Wealth, LLC other	Other	Jul 8, 2014	Jul 14, 2014
Troy A Franzen	RBC Securities, Inc. other	Seia other	Other	Sep 17, 2013	Oct 29, 2013 (42 d)
Joshua Paul Dopp	RBC Securities, Inc. other	Morgan Stanley wirehouse	Other	Jun 4, 2013	Jun 18, 2013
David Nicholson	RBC Securities, Inc. other	Seia independent RIA	Other	Feb 27, 2013	Apr 10, 2018 (1868 d)
Victor Manuel Rodriguez	RBC Securities, Inc. other	Wells Fargo Advisors wirehouse	Other	May 2, 2012	May 2, 2012
Megan Nicolle Reynoso	RBC Securities, Inc. other	Wells Fargo Advisors wirehouse	Other	May 2, 2012	May 4, 2012
Michael Phillip Gorak	RBC Securities, Inc. other	Centaurus Financial, Inc. other	Other	Apr 26, 2012	Mar 7, 2013 (315 d)
Cynthia J Morris	RBC Securities, Inc. other	Westhill Financial Advisors, Inc. other	Other	Mar 15, 2012	Jan 2, 2013 (293 d)
Helmut Garcia	RBC Securities, Inc. other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Other	Aug 16, 2011	Aug 10, 2012 (360 d)
Peggy W Neal	RBC Securities, Inc. other	Chase Investment Services Corp. other	Other	Jun 28, 2010	Jul 8, 2010
Darya Bahrami Allen-Attar	RBC Securities, Inc. other	Morgan Stanley & Co. LLC unclassified	Other	Jul 1, 2005	Apr 12, 2006 (285 d)
Katerina Larissa Nalywajko	RBC Securities, Inc. other	Capital Bank And Trust Company other	Other	Jul 1, 2005	Mar 1, 2018 (4626 d)
Brent Richard Kanitra	RBC Securities, Inc. other	LPL Financial LLC other	Other	May 4, 2005	Jun 7, 2005 (34 d)

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107 moves match.