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 |
|---|---|---|---|---|---|
| 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 |
| Sydney Rae Marks | RBC Capital Markets, LLC national BD | UBS Financial Services Inc. wirehouse | Affiliated broker-dealer or bank to wirehouse | May 21, 2026 | May 7, 2026 |
| Jon Michael Mcgrew | 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 |
| Edward R. Haus | RBC Capital Markets, LLC national BD | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | May 21, 2026 | May 8, 2026 |
| Joshua P Sanchez | RBC Capital Markets, LLC national BD | Empower Advisory Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | May 21, 2026 | Jun 4, 2026 |
| Timothy Daniel Mcewen | RBC Capital Markets, LLC national BD | Prairie Wealth Advisors, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | May 13, 2026 | May 4, 2026 |
| Amado Quiroz Rivera | RBC Capital Markets, LLC national BD | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | May 7, 2026 | Apr 30, 2026 |
| Nichole Ruth | RBC Capital Markets, LLC national BD | Exceptional Wealth & Family Office no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | May 7, 2026 | Apr 29, 2026 |
| John Angelo Morabito | RBC Capital Markets, LLC national BD | Raymond James & Associates, Inc. national BD | Affiliated broker-dealer or bank to another | May 6, 2026 | May 28, 2026 |
| Edward S Pegram | RBC Capital Markets, LLC national BD | Allworth Financial, L.P. BD affiliated | Affiliated broker-dealer or bank to another | May 1, 2026 | Jun 8, 2026 (38 d) |
| Lloyd King | RBC Capital Markets, LLC national BD | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | May 1, 2026 | May 18, 2026 |
| Hailey Katharine Broderick | RBC Capital Markets, LLC national BD | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | May 1, 2026 | May 5, 2026 |
| Gary Lynn Noordam | RBC Capital Markets, LLC national BD | Raymond James & Associates, Inc. national BD | Affiliated broker-dealer or bank to another | Apr 22, 2026 | Apr 17, 2026 |
| Regina Ann Hall | RBC Capital Markets, LLC national BD | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Apr 16, 2026 | Apr 17, 2026 |
| Nicholas Joseph Avola | RBC Capital Markets, LLC national BD | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 16, 2026 | Apr 10, 2026 |
| Ao Vang | RBC Capital Markets, LLC national BD | Capstone Investment Group independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 8, 2026 | Sep 2, 2026 (147 d) |
| Shiting Yu | RBC Capital Markets, LLC national BD | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Apr 8, 2026 | Apr 7, 2026 |
| Joseph Anthony Ennis | RBC Capital Markets, LLC national BD | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Apr 1, 2026 | Apr 15, 2026 |
| Collin Kincade Stark | RBC Capital Markets, LLC national BD | Edward Jones national BD | Affiliated broker-dealer or bank to another | Apr 1, 2026 | Apr 28, 2026 |
| James Patterson Sterrett | RBC Capital Markets, LLC national BD | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Mar 27, 2026 | Mar 19, 2026 |
| Spencer G Bennett | RBC Capital Markets, LLC national BD | Rockefeller Capital Management BD affiliated | Affiliated broker-dealer or bank to another | Mar 27, 2026 | Mar 31, 2026 |
| Elise Borghi | RBC Capital Markets, LLC national BD | Raymond James & Associates, Inc. national BD | Affiliated broker-dealer or bank to another | Mar 26, 2026 | May 13, 2026 (48 d) |
| Keith Michael Loegering | RBC Capital Markets, LLC national BD | LPL Enterprise, LLC BD affiliated | Affiliated broker-dealer or bank to another | Mar 20, 2026 | Feb 20, 2026 |
| Jacob Harrison Leddy | RBC Capital Markets, LLC national BD | Convergence Financial independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 20, 2026 | Mar 5, 2026 |
| Maria Christina Bridgeford | RBC Capital Markets, LLC national BD | U.S. Bancorp Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Mar 5, 2026 | Mar 5, 2026 |
| Shannon Long | RBC Capital Markets, LLC national BD | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Mar 5, 2026 | Mar 10, 2026 |
| Kathryn Marie Viste | RBC Capital Markets, LLC national BD | UBS Financial Services Inc. wirehouse | Affiliated broker-dealer or bank to wirehouse | Mar 5, 2026 | May 6, 2026 (62 d) |
| Hugh Holman Hoke | RBC Capital Markets, LLC national BD | Janney Montgomery Scott LLC BD affiliated | Affiliated broker-dealer or bank to another | Mar 3, 2026 | Feb 6, 2026 |
| Jerry Dominic Truman | RBC Capital Markets, LLC national BD | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Feb 19, 2026 | Feb 11, 2026 |
| Schaun Steven Kirks | RBC Capital Markets, LLC national BD | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Feb 19, 2026 | Jun 11, 2026 (112 d) |
| Steven Peter Ganan | RBC Capital Markets, LLC national BD | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Feb 19, 2026 | Feb 11, 2026 |
| Nicole Huguet Izquierdo | RBC Capital Markets, LLC national BD | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Feb 12, 2026 | Mar 18, 2026 (34 d) |
| Robert Charles Stern | RBC Capital Markets, LLC national BD | Jefferies Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 11, 2026 | Jan 14, 2026 |
| Daniel Swedin | RBC Capital Markets, LLC national BD | Boyum Wealth Architects LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 6, 2026 | Feb 24, 2026 |
| Kimberly Ann Baird | RBC Capital Markets, LLC national BD | Raymond James & Associates, Inc. national BD | Affiliated broker-dealer or bank to another | Jan 30, 2026 | Jan 15, 2026 |
| Jared Thomas Lamb | RBC Capital Markets, LLC national BD | Raymond James & Associates, Inc. national BD | Affiliated broker-dealer or bank to another | Jan 30, 2026 | Jan 15, 2026 |
| Mark Wilkins | RBC Capital Markets, LLC national BD | Raymond James & Associates, Inc. national BD | Affiliated broker-dealer or bank to another | Jan 30, 2026 | Jan 15, 2026 |
| Aaron Felix | RBC Capital Markets, LLC national BD | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Jan 30, 2026 | Jun 18, 2026 (139 d) |
| Taylor Bailey Morgenstern | RBC Capital Markets, LLC national BD | Raymond James & Associates, Inc. national BD | Affiliated broker-dealer or bank to another | Jan 30, 2026 | Jan 15, 2026 |
| Paul Richard Meyer | RBC Capital Markets, LLC national BD | Aegis Capital Corp. BD affiliated | Affiliated broker-dealer or bank to another | Jan 26, 2026 | Feb 18, 2026 |
| Joshua David Bruegman | RBC Capital Markets, LLC national BD | Rockefeller Capital Management BD affiliated | Affiliated broker-dealer or bank to another | Jan 15, 2026 | Jan 9, 2026 |
| Aaron Ryan Hanson | RBC Capital Markets, LLC national BD | Madison Investment Advisors, LLC mixed wealth | Affiliated broker-dealer or bank to independent RIA | Jan 15, 2026 | Feb 3, 2026 |
| Taylor Rene Cryer | RBC Capital Markets, LLC national BD | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Jan 15, 2026 | Jan 9, 2026 |
| Angela Chandler Hatley | RBC Capital Markets, LLC national BD | Hilltop Securities Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jan 8, 2026 | Jan 6, 2026 |
| Michael John Paone | RBC Capital Markets, LLC national BD | Wells Fargo Investment Institute, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 24, 2025 | Jan 28, 2026 (35 d) |
| Tahisha Hall | RBC Capital Markets, LLC national BD | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Dec 23, 2025 | Jun 16, 2026 (175 d) |
| Zachary Adam Miller | RBC Capital Markets, LLC national BD | Redwood Investment Group, Inc independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 23, 2025 | Dec 26, 2025 |
| Richard Petty | RBC Capital Markets, LLC national BD | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Nov 21, 2025 | Nov 10, 2025 |
| Meaghan Ann Pennell | RBC Capital Markets, LLC national BD | Northwestern Mutual Investment Services,LLC no RAUM | Other | Nov 21, 2025 | Feb 18, 2026 (89 d) |
| James Kevin Winkler | RBC Capital Markets, LLC national BD | Janney Montgomery Scott LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 21, 2025 | Nov 10, 2025 |
| Megan Lafrenz | RBC Capital Markets, LLC national BD | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Nov 21, 2025 | Nov 21, 2025 |
| Kevin Ray Mcdevitt | RBC Capital Markets, LLC national BD | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Nov 13, 2025 | Dec 5, 2025 |
| Robert Allen Sierens | RBC Capital Markets, LLC national BD | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Nov 13, 2025 | Nov 19, 2025 |
| Lauren Michelle Johnson Housh | RBC Capital Markets, LLC national BD | Janney Montgomery Scott LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 13, 2025 | Nov 7, 2025 |
| Gary Cundall | RBC Capital Markets, LLC national BD | UBS Financial Services Inc. wirehouse | Affiliated broker-dealer or bank to wirehouse | Nov 13, 2025 | Dec 10, 2025 |
| Michael Brandon Allen | RBC Capital Markets, LLC national BD | Manhattan West Asset Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 12, 2025 | Jan 7, 2026 (56 d) |
| John Scott Klingensmith | RBC Capital Markets, LLC national BD | Hilltop Securities Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 7, 2025 | Oct 31, 2025 |
| Breanna Strerath | RBC Capital Markets, LLC national BD | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Nov 7, 2025 | Dec 15, 2025 (38 d) |
| Randi Walker | RBC Capital Markets, LLC national BD | Janney Montgomery Scott LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 30, 2025 | Nov 4, 2025 |
2,415 moves match.