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 |
|---|---|---|---|---|---|
| Jacqueline Moran | RBC Capital Markets, LLC national BD | UBS Financial Services Inc. wirehouse | Affiliated broker-dealer or bank to wirehouse | Jan 23, 2025 | Jan 17, 2025 |
| Michael Reither | RBC Capital Markets, LLC national BD | Charles Schwab & Co., Inc. national BD | Affiliated broker-dealer or bank to another | Jan 17, 2025 | Jan 22, 2025 |
| Karen D Buckley | RBC Capital Markets, LLC national BD | Raymond James Financial Services Advisors, Inc BD affiliated | Affiliated broker-dealer or bank to another | Jan 6, 2025 | Jan 13, 2025 |
| Charles R Hofstrom | RBC Capital Markets, LLC national BD | Thrivent Asset Management, LLC asset manager | Other | Jan 6, 2025 | Jan 21, 2025 |
| Vincent J Ferreira | RBC Capital Markets, LLC national BD | Drake & Associates, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 31, 2024 | Jan 19, 2025 |
| Arlene F Leon | RBC Capital Markets, LLC national BD | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Dec 19, 2024 | Dec 10, 2024 |
| Donald John Cussen | RBC Capital Markets, LLC national BD | Robert W. Baird & Co. Incorporated mixed wealth | Affiliated broker-dealer or bank to independent RIA | Dec 12, 2024 | Dec 6, 2024 |
| Matthew Sean Oconnor | RBC Capital Markets, LLC national BD | Robert W. Baird & Co. Incorporated mixed wealth | Affiliated broker-dealer or bank to independent RIA | Dec 12, 2024 | Dec 9, 2024 |
| Mark De Gregorio | RBC Capital Markets, LLC national BD | Mercer Global Advisors Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 11, 2024 | Dec 12, 2024 |
| Gunnar Dunbar | RBC Capital Markets, LLC national BD | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Dec 11, 2024 | Dec 2, 2024 |
| Anibal Drelichman | RBC Capital Markets, LLC national BD | UBS Financial Services Inc. wirehouse | Affiliated broker-dealer or bank to wirehouse | Dec 6, 2024 | Dec 4, 2024 |
| Aaron Joseph Sisk | RBC Capital Markets, LLC national BD | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Dec 6, 2024 | Nov 15, 2024 |
| Vianne Schein | RBC Capital Markets, LLC national BD | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Dec 6, 2024 | Dec 13, 2024 |
| Thomas J. Eich | RBC Capital Markets, LLC national BD | Northwestern Mutual Investment Services,LLC no RAUM | Other | Dec 5, 2024 | Jan 21, 2025 (47 d) |
| Walter Eugene Theobald | RBC Capital Markets, LLC national BD | Sovereign Wealth Advisors LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 27, 2024 | Jun 5, 2025 (190 d) |
| Mark William Lininger | RBC Capital Markets, LLC national BD | Equitable Advisors, LLC national BD | Affiliated broker-dealer or bank to another | Nov 27, 2024 | Oct 29, 2024 |
| Kevin James Caputo | RBC Capital Markets, LLC national BD | Apollon Wealth Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 21, 2024 | Nov 4, 2024 |
| Charlie Joseph Host | RBC Capital Markets, LLC national BD | Raymond James & Associates, Inc. national BD | Affiliated broker-dealer or bank to another | Nov 21, 2024 | Nov 8, 2024 |
| Joel Doktorsky Silver | RBC Capital Markets, LLC national BD | Robert W. Baird & Co. Incorporated mixed wealth | Affiliated broker-dealer or bank to independent RIA | Nov 21, 2024 | Nov 8, 2024 |
| Michael Ildo Chung | RBC Capital Markets, LLC national BD | Apollon Wealth Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 13, 2024 | Nov 4, 2024 |
| Spencer G Piasecki | RBC Capital Markets, LLC national BD | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Nov 13, 2024 | Nov 18, 2024 |
| Joseph Dever | RBC Capital Markets, LLC national BD | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Nov 7, 2024 | Nov 21, 2024 |
| Brian K Flader | RBC Capital Markets, LLC national BD | Raymond James & Associates, Inc. national BD | Affiliated broker-dealer or bank to another | Oct 31, 2024 | Oct 17, 2024 |
| Michael C Flader | RBC Capital Markets, LLC national BD | Raymond James & Associates, Inc. national BD | Affiliated broker-dealer or bank to another | Oct 31, 2024 | Oct 16, 2024 |
| Darryn Christopher Young | RBC Capital Markets, LLC national BD | Raymond James & Associates, Inc. national BD | Affiliated broker-dealer or bank to another | Oct 31, 2024 | Oct 17, 2024 |
| Justin Amen | RBC Capital Markets, LLC national BD | Valic Financial Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Oct 31, 2024 | Jul 9, 2025 (251 d) |
| Duane Frank Richter | RBC Capital Markets, LLC national BD | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Oct 24, 2024 | Oct 10, 2024 |
| Allie Grace Kilroy | RBC Capital Markets, LLC national BD | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Oct 24, 2024 | Oct 10, 2024 |
| Aliza Mckenna | RBC Capital Markets, LLC national BD | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Oct 24, 2024 | Sep 23, 2024 |
| Rachel D Hubbard | RBC Capital Markets, LLC national BD | Edward Jones national BD | Affiliated broker-dealer or bank to another | Oct 18, 2024 | Apr 4, 2025 (168 d) |
| Kevin Geoffrey O'Hara | RBC Capital Markets, LLC national BD | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Oct 18, 2024 | Nov 6, 2024 |
| Daniel Steven Camarigg | RBC Capital Markets, LLC national BD | Raymond James & Associates, Inc. national BD | Affiliated broker-dealer or bank to another | Oct 10, 2024 | Sep 27, 2024 |
| Michael Roy | RBC Capital Markets, LLC national BD | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Oct 10, 2024 | Apr 17, 2025 (189 d) |
| Catherine Elizabeth Gueli | RBC Capital Markets, LLC national BD | Novem Group independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 10, 2024 | Sep 26, 2024 |
| Evelyn Faye Jordan | RBC Capital Markets, LLC national BD | Edward Jones national BD | Affiliated broker-dealer or bank to another | Oct 3, 2024 | Oct 7, 2024 |
| Renrick Rhys Pesce | RBC Capital Markets, LLC national BD | Mariner BD affiliated | Affiliated broker-dealer or bank to another | Sep 25, 2024 | Oct 4, 2024 |
| Jon Paul Theriault | RBC Capital Markets, LLC national BD | Hightower Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 25, 2024 | Sep 18, 2024 |
| Albert Leonard Blakes | RBC Capital Markets, LLC national BD | LPL Enterprise, LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 13, 2024 | Jul 10, 2026 (665 d) |
| Pamela Ann Kamen | RBC Capital Markets, LLC national BD | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 13, 2024 | Aug 29, 2024 |
| Brian Blair | RBC Capital Markets, LLC national BD | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 13, 2024 | Aug 29, 2024 |
| Nicholas H Anger | RBC Capital Markets, LLC national BD | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 13, 2024 | Aug 29, 2024 |
| Lindsay Sarah Lambert | RBC Capital Markets, LLC national BD | Concurrent Investment Advisors, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 13, 2024 | Aug 30, 2024 |
| Christian Martinez | RBC Capital Markets, LLC national BD | Neuberger Berman Bd LLC no RAUM | Other | Sep 13, 2024 | Aug 3, 2026 (689 d) |
| Jana Dawn Gingerich | RBC Capital Markets, LLC national BD | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 13, 2024 | Aug 29, 2024 |
| Joshua Aaron Frieze | RBC Capital Markets, LLC national BD | Empower Advisory Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 13, 2024 | Nov 29, 2024 (77 d) |
| Dennis Carl Lambert | RBC Capital Markets, LLC national BD | Concurrent Investment Advisors, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 13, 2024 | Aug 30, 2024 |
| Madelyn Ducharme | RBC Capital Markets, LLC national BD | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 13, 2024 | Aug 30, 2024 |
| Daniel Scott Burnham | RBC Capital Markets, LLC national BD | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Sep 5, 2024 | Nov 6, 2024 (62 d) |
| Logan Fitzpatrick Dwyer | RBC Capital Markets, LLC national BD | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Sep 5, 2024 | Sep 12, 2024 |
| Brad Lee Spencer | RBC Capital Markets, LLC national BD | Robert W. Baird & Co. Incorporated mixed wealth | Affiliated broker-dealer or bank to independent RIA | Aug 28, 2024 | Aug 16, 2024 |
| Margaret Ann Ginder | RBC Capital Markets, LLC national BD | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Aug 22, 2024 | Aug 19, 2024 |
| Caleb Jeffrey Hanie | RBC Capital Markets, LLC national BD | Alliancebernstein L.P. asset manager | Other | Aug 21, 2024 | Sep 5, 2024 |
| Farrahlyn S Vo | RBC Capital Markets, LLC national BD | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Aug 15, 2024 | Oct 9, 2024 (55 d) |
| Tamika Nashae Byrd | RBC Capital Markets, LLC national BD | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 14, 2024 | Aug 28, 2024 |
| Robert Brian King | RBC Capital Markets, LLC national BD | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Aug 7, 2024 | Jul 25, 2024 |
| George Jaime Barrios | RBC Capital Markets, LLC national BD | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Aug 7, 2024 | Jul 25, 2024 |
| Philip James Bartlett | RBC Capital Markets, LLC national BD | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Aug 7, 2024 | Jul 25, 2024 |
| Tamra Jo Skerjanec | RBC Capital Markets, LLC national BD | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Aug 7, 2024 | Jul 25, 2024 |
| Nicholas Scott Duncan | RBC Capital Markets, LLC national BD | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Aug 7, 2024 | Jul 25, 2024 |
| Jenna Katherine Vokes | RBC Capital Markets, LLC national BD | UBS Financial Services Inc. wirehouse | Affiliated broker-dealer or bank to wirehouse | Jul 31, 2024 | Aug 6, 2024 |
2,415 moves match.