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 Charles Schwab Investment Advisory, 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 |
|---|---|---|---|---|---|
| Eva Aihua Xu | Charles Schwab Investment Advisory, Inc independent RIA | Empirical Wealth Management independent RIA | RIA to RIA | Jan 11, 2024 | Aug 22, 2024 (224 d) |
| Rodney E White | Charles Schwab Investment Advisory, Inc BD affiliated | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Mar 10, 2022 | Aug 19, 2026 (1623 d) |
| Thomas William Hagstrom | Charles Schwab Investment Advisory, Inc BD affiliated | Appleton Partners, Inc. other | Other | Jan 25, 2022 | May 15, 2024 (841 d) |
| Lawrence Laurent Jules | Charles Schwab Investment Advisory, Inc BD affiliated | 3edge Asset Management, LP independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 21, 2021 | Nov 30, 2022 (344 d) |
| Zachary John Ciampa | Charles Schwab Investment Advisory, Inc independent RIA | John Hancock Personal Financial Services, LLC BD affiliated | RIA to affiliated broker-dealer or bank | May 4, 2020 | May 13, 2020 |
| Patrick Cormac Murphy | Charles Schwab Investment Advisory, Inc independent RIA | Adams Wealth Advisors independent RIA | RIA to RIA | Apr 13, 2020 | Apr 6, 2020 |
| Timothy James Kohn | Charles Schwab Investment Advisory, Inc independent RIA | Arcus Capital Partners, LLC independent RIA | RIA to RIA | Jan 6, 2020 | Dec 11, 2019 |
| Ari Seth Wiener | Charles Schwab Investment Advisory, Inc independent RIA | Advice And Planning Services BD affiliated | RIA to affiliated broker-dealer or bank | Jun 5, 2019 | Aug 6, 2019 (62 d) |
| John Carl Smith | Charles Schwab Investment Advisory, Inc independent RIA | Reisen Capital, LLC unclassified | Other | Jul 31, 2018 | Dec 21, 2018 (143 d) |
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9 moves match.