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 Capital Markets, 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.
| Advisor | From | To | Type | Left | Registered |
|---|---|---|---|---|---|
| Bernard Suissa | RBC Capital Markets, LLC national BD | Suissa Private Wealth no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Sep 4, 2026 | Sep 4, 2026 |
| Carl Anthony Hinds | RBC Capital Markets, LLC national BD | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 4, 2026 | Aug 19, 2026 |
| Emily Ann Schoettler | RBC Capital Markets, LLC national BD | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 4, 2026 | Aug 20, 2026 |
| Emily A Fennell | RBC Capital Markets, LLC national BD | Suissa Private Wealth no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Sep 4, 2026 | Sep 4, 2026 |
| Brandon Joseph Levenson | RBC Capital Markets, LLC national BD | Suissa Private Wealth no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Sep 4, 2026 | Sep 4, 2026 |
| Cade Frederick Nelson | RBC Capital Markets, LLC national BD | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 2, 2026 | Aug 18, 2026 |
| William Ellison Grayson | RBC Capital Markets, LLC national BD | Ieq Capital, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 28, 2026 | Aug 11, 2026 |
| Bennett Warren Canady | RBC Capital Markets, LLC national BD | Ieq Capital, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 28, 2026 | Aug 17, 2026 |
| Daniel James Hocking | RBC Capital Markets, LLC national BD | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 26, 2026 | Aug 18, 2026 |
| Stephen Andrew Braatz | RBC Capital Markets, LLC national BD | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 26, 2026 | Aug 18, 2026 |
| Kathy Ann Russo | RBC Capital Markets, LLC national BD | Raymond James & Associates, Inc. national BD | Affiliated broker-dealer or bank to another | Aug 21, 2026 | Sep 1, 2026 |
| Andrew Krantz | RBC Capital Markets, LLC national BD | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Aug 21, 2026 | Aug 7, 2026 |
| Corben Gailey | RBC Capital Markets, LLC national BD | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Aug 21, 2026 | Aug 7, 2026 |
| Dominic Occhiuzzo | RBC Capital Markets, LLC national BD | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Aug 21, 2026 | Sep 4, 2026 |
| James Martin Aid | RBC Capital Markets, LLC national BD | Raymond James Financial Services Advisors, Inc BD affiliated | Affiliated broker-dealer or bank to another | Aug 14, 2026 | Jul 31, 2026 |
| Taylor Jordan Boyle | RBC Capital Markets, LLC national BD | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Aug 14, 2026 | Aug 3, 2026 |
| Stephen Ross Saxon | RBC Capital Markets, LLC national BD | State Farm Investment Management Corp. asset manager | Other | Aug 12, 2026 | Aug 21, 2026 |
| Robert Morgan Tobin | RBC Capital Markets, LLC national BD | UBS Financial Services Inc. wirehouse | Affiliated broker-dealer or bank to wirehouse | Aug 6, 2026 | Aug 19, 2026 |
| Kyle J Sanders | RBC Capital Markets, LLC national BD | Lineweaver Wealth Advisors independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 6, 2026 | Aug 14, 2026 |
| David Donald Powell | RBC Capital Markets, LLC national BD | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Jul 30, 2026 | Jul 15, 2026 |
| James Patrick Darby | RBC Capital Markets, LLC national BD | Adell Harriman & Carpenter independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 30, 2026 | Aug 30, 2026 (31 d) |
| Thomas Patrick Oconnor | RBC Capital Markets, LLC national BD | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Jul 30, 2026 | Aug 14, 2026 |
| Kevin Lazarus | RBC Capital Markets, LLC national BD | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Jul 24, 2026 | Jul 31, 2026 |
| Michael Joseph Foody | RBC Capital Markets, LLC national BD | Robert W. Baird & Co. Incorporated mixed wealth | Affiliated broker-dealer or bank to independent RIA | Jul 16, 2026 | Jul 6, 2026 |
| Steven Robert Sheresky | RBC Capital Markets, LLC national BD | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Jul 16, 2026 | Jul 6, 2026 |
| Jeffrey Lloyd Sheresky | RBC Capital Markets, LLC national BD | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Jul 16, 2026 | Jul 6, 2026 |
| Jeffrey C Samsen | RBC Capital Markets, LLC national BD | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Jul 16, 2026 | Jul 6, 2026 |
| Nicole Amy Nelson | RBC Capital Markets, LLC national BD | Allworth Financial, L.P. BD affiliated | Affiliated broker-dealer or bank to another | Jul 16, 2026 | Jul 24, 2026 |
| Laurel Dee Reynolds | RBC Capital Markets, LLC national BD | Robert W. Baird & Co. Incorporated mixed wealth | Affiliated broker-dealer or bank to independent RIA | Jul 16, 2026 | Jul 6, 2026 |
| Stanley Carl Weeks | RBC Capital Markets, LLC national BD | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Jul 16, 2026 | Jul 7, 2026 |
| Jonathan Scott Stough | RBC Capital Markets, LLC national BD | Ethos Financial Group, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 16, 2026 | Jul 2, 2026 |
| Kenneth Tapley Sheresky | RBC Capital Markets, LLC national BD | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Jul 16, 2026 | Jul 6, 2026 |
| Neale Sheffield Foody | RBC Capital Markets, LLC national BD | Robert W. Baird & Co. Incorporated mixed wealth | Affiliated broker-dealer or bank to independent RIA | Jul 16, 2026 | Jul 6, 2026 |
| Joshua Daniel Amundsen | RBC Capital Markets, LLC national BD | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Jul 10, 2026 | Jul 16, 2026 |
| Ann Marie Hoen | RBC Capital Markets, LLC national BD | Robert W. Baird & Co. Incorporated mixed wealth | Affiliated broker-dealer or bank to independent RIA | Jul 2, 2026 | Jun 18, 2026 |
| Tanner Setten Petroske | RBC Capital Markets, LLC national BD | Robert W. Baird & Co. Incorporated mixed wealth | Affiliated broker-dealer or bank to independent RIA | Jul 2, 2026 | Jun 18, 2026 |
| Mark Lobosco | RBC Capital Markets, LLC national BD | Empower Advisory Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 2, 2026 | Jul 10, 2026 |
| Sarah Schermerhorn | RBC Capital Markets, LLC national BD | U.S. Bancorp Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 2, 2026 | Jul 20, 2026 |
| Giancarla Marie Ferrara | RBC Capital Markets, LLC national BD | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 25, 2026 | Jun 15, 2026 |
| Michael Lee Karels | RBC Capital Markets, LLC national BD | Robert W. Baird & Co. Incorporated mixed wealth | Affiliated broker-dealer or bank to independent RIA | Jun 24, 2026 | Jun 18, 2026 |
| Darla Jean Kashian | RBC Capital Markets, LLC national BD | Robert W. Baird & Co. Incorporated mixed wealth | Affiliated broker-dealer or bank to independent RIA | Jun 24, 2026 | Jun 18, 2026 |
| Stephen Schor | RBC Capital Markets, LLC national BD | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Jun 19, 2026 | Jun 1, 2026 |
| Isabella Adele Torre | RBC Capital Markets, LLC national BD | Ieq Capital, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 19, 2026 | Aug 4, 2026 (46 d) |
| Lawrence Andrews | RBC Capital Markets, LLC national BD | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Jun 12, 2026 | May 27, 2026 |
| Fabienne Sarnecki | RBC Capital Markets, LLC national BD | Citigroup Global Markets Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jun 12, 2026 | Jun 23, 2026 |
| Shamya Munni Ullah | RBC Capital Markets, LLC national BD | Newedge Advisors BD affiliated | Affiliated broker-dealer or bank to another | Jun 12, 2026 | May 29, 2026 |
| Arch Hoffman | RBC Capital Markets, LLC national BD | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Jun 12, 2026 | May 29, 2026 |
| Justin Robert Wright | RBC Capital Markets, LLC national BD | Oppenheimer & Co. Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jun 12, 2026 | May 26, 2026 |
| Layla Kouriri | RBC Capital Markets, LLC national BD | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Jun 12, 2026 | May 27, 2026 |
| Lawrence Frederick Andrews III | RBC Capital Markets, LLC national BD | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Jun 12, 2026 | May 27, 2026 |
| Curran Robertson | RBC Capital Markets, LLC national BD | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Jun 12, 2026 | May 27, 2026 |
| Olivia Studley | RBC Capital Markets, LLC national BD | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Jun 12, 2026 | May 27, 2026 |
| Gregory William Leisey | RBC Capital Markets, LLC national BD | Raymond James & Associates, Inc. national BD | Affiliated broker-dealer or bank to another | Jun 4, 2026 | May 26, 2026 |
| Christy Leone Morrison | RBC Capital Markets, LLC national BD | Raymond James & Associates, Inc. national BD | Affiliated broker-dealer or bank to another | Jun 4, 2026 | May 27, 2026 |
| Christopher Patrick Kelly | RBC Capital Markets, LLC national BD | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | May 28, 2026 | May 14, 2026 |
| Bret Anthony Schertz | RBC Capital Markets, LLC national BD | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | May 28, 2026 | May 14, 2026 |
| Shannon L. Beauchamp | RBC Capital Markets, LLC national BD | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | May 28, 2026 | May 14, 2026 |
| Donna Marie Kelly | RBC Capital Markets, LLC national BD | Raymond James & Associates, Inc. national BD | Affiliated broker-dealer or bank to another | May 21, 2026 | Jul 8, 2026 (48 d) |
| Brooke Ann Wimes | RBC Capital Markets, LLC national BD | Prairie Wealth Advisors, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | May 21, 2026 | May 4, 2026 |
| Christopher J Drew | RBC Capital Markets, LLC national BD | UBS Financial Services Inc. wirehouse | Affiliated broker-dealer or bank to wirehouse | May 21, 2026 | May 7, 2026 |
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2,412 moves match.