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 |
|---|---|---|---|---|---|
| Scott Harris Rose | RBC Capital Markets, LLC national BD | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 21, 2025 | Oct 15, 2025 |
| Jessica Myra Lee | RBC Capital Markets, LLC national BD | Rockefeller Capital Management BD affiliated | Affiliated broker-dealer or bank to another | Oct 16, 2025 | Oct 10, 2025 |
| Bronwyn Cordiak | RBC Capital Markets, LLC national BD | Strategic Advisers LLC national BD | Affiliated broker-dealer or bank to another | Oct 16, 2025 | Nov 7, 2025 |
| Crystal Yung | RBC Capital Markets, LLC national BD | Rockefeller Capital Management BD affiliated | Affiliated broker-dealer or bank to another | Oct 9, 2025 | Oct 7, 2025 |
| Michaela Erin Frantz | RBC Capital Markets, LLC national BD | Janney Montgomery Scott LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 9, 2025 | Sep 29, 2025 |
| Terri Suzanne Beaudoin | RBC Capital Markets, LLC national BD | Raymond James Financial Services Advisors, Inc BD affiliated | Affiliated broker-dealer or bank to another | Oct 9, 2025 | Jun 1, 2026 (235 d) |
| Joseph Arico Ganoe | RBC Capital Markets, LLC national BD | Composition Wealth, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 9, 2025 | Apr 3, 2026 (176 d) |
| Denny John Totland | RBC Capital Markets, LLC national BD | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 2, 2025 | Sep 17, 2025 |
| Joanna Rene St. Clair | RBC Capital Markets, LLC national BD | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 2, 2025 | Oct 1, 2025 |
| Ryan Allen Seewald | RBC Capital Markets, LLC national BD | Bridlewood Private Wealth LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Oct 2, 2025 | Jan 12, 2026 (102 d) |
| Ethan Grandinetti | RBC Capital Markets, LLC national BD | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Oct 2, 2025 | Oct 16, 2025 |
| William Douglas Etheridge | RBC Capital Markets, LLC national BD | Hilltop Securities Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 29, 2025 | Sep 22, 2025 |
| Timothy Allen Grantham | RBC Capital Markets, LLC national BD | UBS Financial Services Inc. wirehouse | Affiliated broker-dealer or bank to wirehouse | Sep 26, 2025 | Sep 5, 2025 |
| Karen Renee Shaw | RBC Capital Markets, LLC national BD | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Sep 26, 2025 | Oct 14, 2025 |
| Christopher Scott Meyer | RBC Capital Markets, LLC national BD | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 26, 2025 | Sep 17, 2025 |
| Bradley Jay J Blum | RBC Capital Markets, LLC national BD | Newedge Advisors BD affiliated | Affiliated broker-dealer or bank to another | Sep 26, 2025 | Sep 22, 2025 |
| Matthew Paul Serrano | RBC Capital Markets, LLC national BD | Capital Management Associates Inc independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 26, 2025 | Oct 15, 2025 |
| Richard Paul Bondi | RBC Capital Markets, LLC national BD | Raymond James & Associates, Inc. national BD | Affiliated broker-dealer or bank to another | Sep 19, 2025 | Sep 10, 2025 |
| Justin Seurer | RBC Capital Markets, LLC national BD | Landolt Securities, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 19, 2025 | Feb 23, 2026 (157 d) |
| Trevor Guenther | RBC Capital Markets, LLC national BD | Lido independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 19, 2025 | Oct 3, 2025 |
| Adam L Richwine | RBC Capital Markets, LLC national BD | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 10, 2025 | Sep 2, 2025 |
| William Joseph Piazza | RBC Capital Markets, LLC national BD | UBS Financial Services Inc. wirehouse | Affiliated broker-dealer or bank to wirehouse | Sep 10, 2025 | Sep 5, 2025 |
| Jeremy Daniel Cantu | RBC Capital Markets, LLC national BD | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Sep 10, 2025 | Sep 5, 2025 |
| Alexander Christopher Brewer | RBC Capital Markets, LLC national BD | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Sep 10, 2025 | Oct 2, 2025 |
| Sheryl Lynn Laduke | RBC Capital Markets, LLC national BD | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Sep 9, 2025 | Sep 3, 2025 |
| Greg Prahser | RBC Capital Markets, LLC national BD | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Sep 5, 2025 | Aug 28, 2025 |
| Nicholas C. Rossetti | RBC Capital Markets, LLC national BD | Lifegoal Investments, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 5, 2025 | Sep 5, 2025 |
| Adam Charles Garen Greenleaf | RBC Capital Markets, LLC national BD | Stifel, Nicolaus & Company, Incorporated national BD | Affiliated broker-dealer or bank to another | Sep 5, 2025 | Aug 25, 2025 |
| Elisabeth Ann Keohane | RBC Capital Markets, LLC national BD | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 28, 2025 | Sep 2, 2025 |
| James Daniel Bullard | RBC Capital Markets, LLC national BD | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Aug 22, 2025 | Aug 15, 2025 |
| Jill Taylor-Phillips | RBC Capital Markets, LLC national BD | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Aug 22, 2025 | Aug 29, 2025 |
| Kyle Robert Pedersen | RBC Capital Markets, LLC national BD | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 21, 2025 | Sep 26, 2025 (36 d) |
| Cathy Diane Shattuck | RBC Capital Markets, LLC national BD | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Aug 19, 2025 | Feb 20, 2024 |
| Benjamin Alan Goldberg | RBC Capital Markets, LLC national BD | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Aug 15, 2025 | Aug 7, 2025 |
| Brian Lee Richmond | RBC Capital Markets, LLC national BD | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Aug 15, 2025 | Aug 7, 2025 |
| Jamie Merritta Morrow | RBC Capital Markets, LLC national BD | Stifel, Nicolaus & Company, Incorporated national BD | Affiliated broker-dealer or bank to another | Aug 15, 2025 | Aug 18, 2025 |
| Emily Lin | RBC Capital Markets, LLC national BD | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Aug 15, 2025 | Sep 11, 2025 |
| Kelsey Chicots | RBC Capital Markets, LLC national BD | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Aug 15, 2025 | Aug 7, 2025 |
| Gregg Auerbach | RBC Capital Markets, LLC national BD | Meadowbrook Advisors no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Aug 8, 2025 | Aug 1, 2025 |
| Ian Auerbach | RBC Capital Markets, LLC national BD | Meadowbrook Advisors no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Aug 8, 2025 | Aug 1, 2025 |
| Echo Ranell Mcneill | RBC Capital Markets, LLC national BD | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Aug 8, 2025 | Mar 12, 2026 (216 d) |
| Steven Michael Damion | RBC Capital Markets, LLC national BD | Charles Schwab & Co., Inc. national BD | Affiliated broker-dealer or bank to another | Aug 8, 2025 | Feb 27, 2026 (203 d) |
| Thomas Joseph Margaritondo | RBC Capital Markets, LLC national BD | Meadowbrook Advisors no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Aug 8, 2025 | Aug 1, 2025 |
| Leitasha Rodriguez | RBC Capital Markets, LLC national BD | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Aug 8, 2025 | Aug 13, 2026 (370 d) |
| Sabrina Atalia Ortega | RBC Capital Markets, LLC national BD | Linscomb Wealth, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 25, 2025 | Sep 2, 2025 (39 d) |
| Michael Jeffrey Dukovich | RBC Capital Markets, LLC national BD | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 17, 2025 | Jul 8, 2025 |
| Philip Duane Tom | RBC Capital Markets, LLC national BD | Hohimer Wealth Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 10, 2025 | Jul 18, 2025 |
| Joseph Hanson | RBC Capital Markets, LLC national BD | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Jul 10, 2025 | Jul 2, 2025 |
| Jennifer R Weaver | RBC Capital Markets, LLC national BD | Hohimer Wealth Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 7, 2025 | Jul 8, 2025 |
| Charu Dayal | RBC Capital Markets, LLC national BD | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Jul 7, 2025 | Jul 23, 2025 |
| Jamie E Osullivan | RBC Capital Markets, LLC national BD | Citigroup Global Markets Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 7, 2025 | Sep 3, 2025 (58 d) |
| Jensen Reagan Weynands | RBC Capital Markets, LLC national BD | Farther independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 7, 2025 | Jul 3, 2025 |
| Mike Shayestehfar | RBC Capital Markets, LLC national BD | Citizens Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jun 17, 2025 | Jun 12, 2025 |
| Kurt Patrick Luckenbill | RBC Capital Markets, LLC national BD | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Jun 17, 2025 | Jun 9, 2025 |
| Jennifer Anne Swetland | RBC Capital Markets, LLC national BD | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Jun 17, 2025 | Jun 9, 2025 |
| Matthew Eldeberto Oliveira | RBC Capital Markets, LLC national BD | Citizens Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jun 17, 2025 | Jun 12, 2025 |
| Matthew Franklin Sweeney | RBC Capital Markets, LLC national BD | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 11, 2025 | Jun 4, 2025 |
| Tahirih Kanoenalani Toll | RBC Capital Markets, LLC national BD | Raymond James Financial Services Advisors, Inc BD affiliated | Affiliated broker-dealer or bank to another | Jun 11, 2025 | Jun 9, 2025 |
| Daniel Anthony Toll | RBC Capital Markets, LLC national BD | Raymond James Financial Services Advisors, Inc BD affiliated | Affiliated broker-dealer or bank to another | Jun 11, 2025 | Jun 5, 2025 |
| Tanner John Carter | RBC Capital Markets, LLC national BD | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 11, 2025 | Jun 4, 2025 |
2,415 moves match.