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 Rochdale, LLC

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
Adrian Sean JohnsonRBC Rochdale, LLC otherPugh Capital Management, Inc. otherOtherFeb 15, 2019Jan 16, 2018
Scott N MesaRBC Rochdale, LLC BD affiliatedIeq Capital, LLC independent RIAAffiliated broker-dealer or bank to independent RIASep 17, 2018Oct 14, 2022 (1488 d)
Ruel Lamberto CabarlesRBC Rochdale, LLC BD affiliatedCetera Investment Advisers LLC BD affiliatedAffiliated broker-dealer or bank to anotherJul 13, 2018Aug 18, 2018 (36 d)
Ryan James TunnellRBC Rochdale, LLC BD affiliatedMatrix Private Capital Group independent RIAAffiliated broker-dealer or bank to independent RIAJun 6, 2018Dec 21, 2018 (198 d)
William Reimer LavelleRBC Rochdale, LLC BD affiliatedMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseAffiliated broker-dealer or bank to wirehouseApr 18, 2018Aug 29, 2018 (133 d)
Dan PomerantzRBC Rochdale, LLC BD affiliatedWells Fargo Advisors wirehouseAffiliated broker-dealer or bank to wirehouseApr 3, 2018Apr 20, 2021 (1113 d)
Joseph HerrmannRBC Rochdale, LLC otherGilder Gagnon Howe & Co. LLC otherOtherJan 5, 2018Jan 9, 2018
Michael Todd SmurlRBC Rochdale, LLC otherIntegrity Financial Planning, LLC state registeredOtherJul 10, 2017Oct 30, 2020 (1208 d)
Nicholas A MatayoshiRBC Rochdale, LLC otherMorgan Stanley wirehouseOtherApr 24, 2017Jun 16, 2017 (53 d)
Steven Gabriel WalravenRBC Rochdale, LLC otherMML Investors Services, LLC otherOtherApr 20, 2017Sep 14, 2017 (147 d)
David Phillip GarzaRBC Rochdale, LLC otherUBS Financial Services Inc. wirehouseOtherApr 12, 2017Dec 4, 2017 (236 d)
Andrew Michael AlmeidaRBC Rochdale, LLC otherGoalvest Advisory LLC independent RIAOtherMar 7, 2017Oct 4, 2019 (941 d)
David Michael CoiroRBC Rochdale, LLC otherSymphonic Financial Advisors LLC otherOtherFeb 21, 2017Apr 12, 2017 (50 d)
Harry John MartinRBC Rochdale, LLC otherGoalvest Advisory LLC mixed wealthOtherFeb 10, 2017May 22, 2023 (2292 d)
Sevasti BalafasRBC Rochdale, LLC otherGoalvest Advisory LLC independent RIAOtherDec 1, 2016Feb 7, 2017 (68 d)
Alfred Cameron HuntRBC Rochdale, LLC otherRBC Securities, Inc. otherOtherNov 16, 2016Nov 17, 2016
Nate ElishaRBC Rochdale, LLC otherRBC Securities, Inc. independent RIAOtherOct 31, 2016Feb 5, 2020 (1192 d)
Raymond Erwin LlewellynRBC Rochdale, LLC otherCerity Partners Ocio LLC otherOtherFeb 8, 2016Feb 22, 2016
Cory James BoggsRBC Rochdale, LLC otherRBC Securities, Inc. otherOtherJan 14, 2016Jan 22, 2016
Kelly JohnsonRBC Rochdale, LLC otherCharles Schwab & Co., Inc. national BDOtherJan 8, 2016Mar 24, 2016 (76 d)
Warren Michael SypineroRBC Rochdale, LLC otherAdvice And Planning Services BD affiliatedOtherSep 17, 2015Jul 10, 2025 (3584 d)
Patrick Ryan O'DayRBC Rochdale, LLC otherCibc Private Wealth Advisors, Inc. BD affiliatedOtherSep 14, 2015Dec 13, 2021 (2282 d)
Douglas Mcleod KilroyRBC Rochdale, LLC otherCapital Group Private Client Services, Inc. independent RIAOtherAug 31, 2015Aug 9, 2024 (3266 d)
Ryan Michael AllenRBC Rochdale, LLC otherFinancial Advisory Corporation otherOtherMay 29, 2015Jun 9, 2015
Keith Thomas BrennanRBC Rochdale, LLC otherNeuberger Berman Bd LLC otherOtherMay 7, 2015May 11, 2015
Andrew Jason WachnerRBC Rochdale, LLC otherRBC Securities, Inc. otherOtherJan 23, 2015Dec 17, 2014
Eugene LeeRBC Rochdale, LLC otherJ.P. Morgan Securities LLC wirehouseOtherDec 4, 2014Dec 11, 2014
Jonathan Blanchard FiglinRBC Rochdale, LLC otherEvoke Advisors independent RIAOtherNov 3, 2014Apr 3, 2024 (3439 d)
Adam Neal PhillipsRBC Rochdale, LLC otherEp Wealth Advisors otherOtherMar 24, 2014Aug 27, 2015 (521 d)
Kevin Patrick BarlowRBC Rochdale, LLC otherPalo Capital, Inc. otherOtherMar 10, 2014May 22, 2015 (438 d)
Thomas Yen-Hsi KuoRBC Rochdale, LLC otherTcw Investment Management Company LLC asset managerOtherFeb 26, 2014Mar 9, 2023 (3298 d)
George Emmett MccallRBC Rochdale, LLC otherOppenheimer & Co. Inc. otherOtherSep 15, 2011Aug 25, 2014 (1075 d)
Victor G. RubinoRBC Rochdale, LLC otherCredit Suisse Securities (USA) LLC otherOtherAug 9, 2010Aug 2, 2010
Gregory SlaterRBC Rochdale, LLC otherPark Avenue Securities LLC otherOtherJun 27, 2005Oct 17, 2011 (2303 d)
Lane Steven BucklanRBC Rochdale, LLC otherIridian Asset Management LLC otherOtherMar 17, 2003Jun 2, 2003 (77 d)
Keith LarkinRBC Rochdale, LLC otherNeuberger Berman Bd LLC otherOtherJan 21, 2003Feb 18, 2003
Olivier CornetRBC Rochdale, LLC otherNorthern Trust Securities, Inc no RAUMOtherOct 16, 2002Jul 15, 2003 (272 d)
James William HerringtonRBC Rochdale, LLC otherHerrington Investment Solutions state registeredOtherApr 18, 2002Dec 5, 2002 (231 d)
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98 moves match.