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 Schwab Wealth 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.

AdvisorFromToTypeLeftRegistered
Jordan Nicholas McconnellSchwab Wealth Advisory, Inc. no RAUMVanguard Advisers, Inc. BD affiliatedOtherJan 9, 2022Feb 4, 2022
Hir PatelSchwab Wealth Advisory, Inc. no RAUMJ.P. Morgan Securities LLC wirehouseOtherDec 23, 2021Jan 22, 2022
Colin Frederick PhilipsSchwab Wealth Advisory, Inc. no RAUMAe Wealth Management, LLC BD affiliatedOtherDec 22, 2021Dec 13, 2021
Michael Joseph CochranSchwab Wealth Advisory, Inc. no RAUMBentoak Capital independent RIAOtherDec 7, 2021Jan 3, 2022
Thomas GerbothSchwab Wealth Advisory, Inc. no RAUMTandem Wealth Advisors independent RIAOtherDec 4, 2021Nov 9, 2021
Rebecca Carol ChaseSchwab Wealth Advisory, Inc. no RAUMFidelity Personal And Workplace Advisors BD affiliatedOtherOct 25, 2021Jun 30, 2023 (613 d)
Anthony SankarSchwab Wealth Advisory, Inc. no RAUMVanguard Advisers, Inc. BD affiliatedOtherOct 21, 2021Nov 3, 2021
Philip OnoratoSchwab Wealth Advisory, Inc. no RAUMJ.P. Morgan Securities LLC wirehouseOtherOct 18, 2021Nov 24, 2021 (37 d)
Sean Kekoa StubbsSchwab Wealth Advisory, Inc. no RAUMAlliancebernstein L.P. otherOtherOct 12, 2021Oct 11, 2021
Adam Jeffrey TrentSchwab Wealth Advisory, Inc. no RAUMOneamerica Securities, Inc. BD affiliatedOtherOct 8, 2021Feb 16, 2022 (131 d)
Benjamin ApraezSchwab Wealth Advisory, Inc. no RAUMFidelity Personal And Workplace Advisors BD affiliatedOtherSep 17, 2021Oct 12, 2021
John Michael SullivanSchwab Wealth Advisory, Inc. no RAUMFidelity Personal And Workplace Advisors BD affiliatedOtherSep 1, 2021Sep 8, 2021
Erin K GoodrichSchwab Wealth Advisory, Inc. no RAUMLincoln Investment BD affiliatedOtherSep 1, 2021Sep 15, 2021
Justin Michael FloresSchwab Wealth Advisory, Inc. no RAUMFacet independent RIAOtherSep 1, 2021Sep 1, 2021
Logan Ryan CreagerSchwab Wealth Advisory, Inc. no RAUMCetera Investment Advisers LLC BD affiliatedOtherAug 6, 2021Feb 3, 2025 (1277 d)
Frederick William MeansSchwab Wealth Advisory, Inc. no RAUMFisher Investments independent RIAOtherAug 3, 2021Aug 6, 2021
Edward BurgosSchwab Wealth Advisory, Inc. no RAUMPark Avenue Securities LLC BD affiliatedOtherJul 30, 2021Mar 28, 2023 (606 d)
Jose A TagleSchwab Wealth Advisory, Inc. no RAUMLPL Financial LLC BD affiliatedOtherJul 26, 2021Aug 4, 2021
Louis Jude DelorenzoSchwab Wealth Advisory, Inc. no RAUMCitizens Securities, Inc. BD affiliatedOtherJul 17, 2021Jul 20, 2021
Trevor William JonesSchwab Wealth Advisory, Inc. no RAUMOsaic Wealth, Inc. BD affiliatedOtherJul 12, 2021Jun 3, 2026 (1787 d)
Brandon Scott DensonSchwab Wealth Advisory, Inc. no RAUMAmeriprise Financial Services, LLC national BDOtherJun 21, 2021Jun 22, 2021
Brett A MockSchwab Wealth Advisory, Inc. no RAUMNorthwestern Mutual Investment Services,LLC no RAUMOtherJun 1, 2021Jun 14, 2021
Thomas M WarrenSchwab Wealth Advisory, Inc. no RAUMMorgan Stanley wirehouseOtherMay 26, 2021Jul 9, 2021 (44 d)
Austin BunchSchwab Wealth Advisory, Inc. no RAUMFidelity Personal And Workplace Advisors BD affiliatedOtherMay 25, 2021Aug 10, 2021 (77 d)
Christopher F DieckowSchwab Wealth Advisory, Inc. no RAUMLeelyn Smith, LLC independent RIAOtherMay 12, 2021May 5, 2021
Jin Young KimSchwab Wealth Advisory, Inc. no RAUMFidelity Personal And Workplace Advisors BD affiliatedOtherMay 5, 2021May 13, 2021
Christine PapelianSchwab Wealth Advisory, Inc. no RAUMSmarter Financial Solutions unclassifiedOtherApr 29, 2021May 17, 2021
Carol BellSchwab Wealth Advisory, Inc. no RAUMBetter Money Decisions independent RIAOtherApr 23, 2021Apr 16, 2021
Jason WenzelSchwab Wealth Advisory, Inc. no RAUMJ.P. Morgan Securities LLC wirehouseOtherMar 29, 2021Feb 2, 2021
Michael PolitowiczSchwab Wealth Advisory, Inc. no RAUMNorthwestern Mutual Investment Services,LLC no RAUMOtherFeb 25, 2021Apr 28, 2025 (1523 d)
Jeffrey A HolzbachSchwab Wealth Advisory, Inc. no RAUMMorgan Stanley wirehouseOtherFeb 1, 2021Oct 7, 2021 (248 d)
Jeremiah BrodeurSchwab Wealth Advisory, Inc. no RAUMEmpower Advisory Group, LLC BD affiliatedOtherFeb 1, 2021Apr 19, 2024 (1173 d)
Christopher C HallSchwab Wealth Advisory, Inc. no RAUMMorgan Stanley wirehouseOtherFeb 1, 2021Sep 29, 2021 (240 d)
Christopher Michael BrooksSchwab Wealth Advisory, Inc. no RAUMEquitable Advisors, LLC national BDOtherOct 28, 2020Dec 15, 2020 (48 d)
Christy Ann KnotzSchwab Wealth Advisory, Inc. no RAUMVanguard Advisers, Inc. BD affiliatedOtherSep 29, 2020Oct 26, 2020
James J. TullySchwab Wealth Advisory, Inc. no RAUMSecurian Financial Services, Inc. BD affiliatedOtherSep 14, 2020Sep 21, 2020
Scott Richard FrazerSchwab Wealth Advisory, Inc. no RAUMWaddell & Reed BD affiliatedOtherSep 2, 2020Aug 31, 2020
Andres FrancoSchwab Wealth Advisory, Inc. no RAUMVanguard Advisers, Inc. BD affiliatedOtherSep 1, 2020Sep 25, 2020
Jose M GarzaSchwab Wealth Advisory, Inc. no RAUMJ.P. Morgan Securities LLC wirehouseOtherSep 1, 2020Sep 3, 2020
Marco Rashawn WilliamsSchwab Wealth Advisory, Inc. no RAUMJ.P. Morgan Securities LLC wirehouseOtherAug 26, 2020Sep 23, 2020
Phebe EtchuSchwab Wealth Advisory, Inc. no RAUMPersonal Capital Advisors Corporation independent RIAOtherAug 20, 2020Aug 20, 2020
Jason Scott IrvingSchwab Wealth Advisory, Inc. no RAUMIrving Planning & Investments, Ltd. otherOtherAug 3, 2020Aug 7, 2020
Joshua Michael GilbertSchwab Wealth Advisory, Inc. no RAUMValeo Financial Advisors, LLC independent RIAOtherJun 8, 2020Jun 16, 2020
Charlene Ann LaneySchwab Wealth Advisory, Inc. no RAUMLPL Financial LLC BD affiliatedOtherMay 21, 2020Apr 30, 2020
Rick Anthony BaraySchwab Wealth Advisory, Inc. no RAUMCampbell Wealth Management, Inc. independent RIAOtherApr 14, 2020Apr 14, 2020
Nathan Niels FaerberSchwab Wealth Advisory, Inc. no RAUMTrajan Wealth, L.L.C. independent RIAOtherApr 8, 2020Apr 16, 2021 (373 d)
Sean Michael WolfeSchwab Wealth Advisory, Inc. no RAUMJ.P. Morgan Securities LLC wirehouseOtherApr 6, 2020Apr 17, 2020
Chris KawashimaSchwab Wealth Advisory, Inc. no RAUMMorgan Stanley wirehouseOtherApr 2, 2020Jul 1, 2026 (2281 d)
Christian Graham NallenwegSchwab Wealth Advisory, Inc. BD affiliatedOxford Financial Group, Ltd independent RIAAffiliated broker-dealer or bank to independent RIAMar 26, 2020Jul 10, 2024 (1567 d)
Jade Thomas HoltSchwab Wealth Advisory, Inc. BD affiliatedLji Wealth Management, LLC independent RIAAffiliated broker-dealer or bank to independent RIAMar 4, 2020Jul 22, 2026 (2331 d)
Danielle B GuerraSchwab Wealth Advisory, Inc. BD affiliatedUBS Financial Services Inc. wirehouseAffiliated broker-dealer or bank to wirehouseJan 17, 2020Jan 6, 2020
Lisanne Penell BeardSchwab Wealth Advisory, Inc. BD affiliatedFacet independent RIAAffiliated broker-dealer or bank to independent RIAJan 13, 2020Jan 13, 2020
George T HendersonSchwab Wealth Advisory, Inc. BD affiliatedComerica Securities bank affiliatedOtherDec 24, 2019Jan 10, 2020
Reese Edward HintonSchwab Wealth Advisory, Inc. BD affiliatedPhoenician Wealth Management, LLC unclassifiedOtherDec 18, 2019Jun 12, 2020 (177 d)
Jason George HalkoSchwab Wealth Advisory, Inc. BD affiliatedMercer Global Advisors Inc. independent RIAAffiliated broker-dealer or bank to independent RIADec 10, 2019Dec 12, 2024 (1829 d)
Christopher Brian ThomSchwab Wealth Advisory, Inc. BD affiliatedEdelman Financial Engines mixed wealthAffiliated broker-dealer or bank to independent RIADec 2, 2019Apr 14, 2020 (134 d)
John Douglas HillSchwab Wealth Advisory, Inc. BD affiliatedFacet independent RIAAffiliated broker-dealer or bank to independent RIANov 22, 2019Nov 4, 2019
William Cody CampbellSchwab Wealth Advisory, Inc. BD affiliatedSharkey Howes & Javer Inc independent RIAAffiliated broker-dealer or bank to independent RIANov 6, 2019Nov 8, 2019
Jonathan David BirdSchwab Wealth Advisory, Inc. BD affiliatedFarnam Financial independent RIAAffiliated broker-dealer or bank to independent RIAOct 28, 2019Nov 6, 2019
Christopher M MillerSchwab Wealth Advisory, Inc. BD affiliatedFacet independent RIAAffiliated broker-dealer or bank to independent RIAOct 11, 2019Oct 9, 2019
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399 moves match.