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 Charles Schwab & Co., 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.
| Advisor | From | To | Type | Left | Registered |
|---|---|---|---|---|---|
| Robert Thomas Burke St Claire | Charles Schwab & Co., Inc. national BD | Cfo4life independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 16, 2026 | Sep 16, 2026 |
| Matthew Jackson Arnold | Charles Schwab & Co., Inc. national BD | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Sep 16, 2026 | Sep 16, 2026 |
| Christopher Mikell | Charles Schwab & Co., Inc. national BD | Citizens Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 5, 2026 | Aug 25, 2026 |
| Albert Yousoufian | Charles Schwab & Co., Inc. national BD | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Sep 5, 2026 | Aug 25, 2026 |
| Ryan Garrett Helm | Charles Schwab & Co., Inc. national BD | Edward Jones national BD | Affiliated broker-dealer or bank to another | Sep 3, 2026 | Aug 21, 2026 |
| Benjamin Mitchell Brown | Charles Schwab & Co., Inc. national BD | Calton & Associates, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 3, 2026 | Aug 25, 2026 |
| Mickale Weshon Gilbert | Charles Schwab & Co., Inc. national BD | Lord And Richards independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 1, 2026 | Sep 2, 2026 |
| Taylor James Jay | Charles Schwab & Co., Inc. national BD | Sharkey Howes & Javer Inc independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 29, 2026 | Sep 10, 2026 |
| Ryleigh Williams | Charles Schwab & Co., Inc. national BD | Alliancebernstein L.P. other | Other | Aug 29, 2026 | Sep 9, 2026 |
| Jason Clark | Charles Schwab & Co., Inc. national BD | Empower Advisory Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 27, 2026 | Sep 8, 2026 |
| Joshua Ross Norton | Charles Schwab & Co., Inc. national BD | Vanguard Advisers, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 25, 2026 | Sep 1, 2026 |
| Tucker Max Smith | Charles Schwab & Co., Inc. national BD | Schwab Wealth Advisory, Inc. no RAUM | Other | Aug 20, 2026 | Sep 25, 2025 |
| Marco Quintana | Charles Schwab & Co., Inc. national BD | Schwab Wealth Advisory, Inc. no RAUM | Other | Aug 20, 2026 | Jan 1, 2026 |
| David Sessions | Charles Schwab & Co., Inc. national BD | Schwab Wealth Advisory, Inc. no RAUM | Other | Aug 20, 2026 | Dec 23, 2025 |
| Robyn Bennett Schmid | Charles Schwab & Co., Inc. national BD | Schwab Wealth Advisory, Inc. no RAUM | Other | Aug 20, 2026 | May 28, 2026 |
| Jason Robert Bettendorf | Charles Schwab & Co., Inc. national BD | Schwab Wealth Advisory, Inc. no RAUM | Other | Aug 20, 2026 | May 22, 2026 |
| Yuan Kang Tang | Charles Schwab & Co., Inc. national BD | Corrigit Capital Group state registered | Affiliated broker-dealer or bank to a state-registered adviser | Aug 19, 2026 | Sep 3, 2026 |
| Bryan Douglas Cornell | Charles Schwab & Co., Inc. national BD | Truist Advisory Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 19, 2026 | Aug 26, 2026 |
| Kyle Neil Gauthier | Charles Schwab & Co., Inc. national BD | Edelman Financial Engines independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 19, 2026 | Aug 20, 2026 |
| Daniel Lee White | Charles Schwab & Co., Inc. national BD | Facet independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 14, 2026 | Aug 10, 2026 |
| Colin Arthur Howard | Charles Schwab & Co., Inc. national BD | Noble Family Wealth independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 14, 2026 | Aug 5, 2026 |
| Kelly Georgette Gromoll | Charles Schwab & Co., Inc. national BD | Vanguard Advisers, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 11, 2026 | Sep 2, 2026 |
| Cassandra Jo Bartlett | Charles Schwab & Co., Inc. national BD | Arvest Wealth Management independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 8, 2026 | Sep 4, 2026 |
| William R Watson | Charles Schwab & Co., Inc. national BD | Foundations Investment Advisors LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 8, 2026 | Aug 18, 2026 |
| Paul Michael Lamandia | Charles Schwab & Co., Inc. national BD | Oliveira Wealth independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 6, 2026 | Jul 27, 2026 |
| Traci Kay Cerda | Charles Schwab & Co., Inc. national BD | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Aug 6, 2026 | Aug 31, 2026 |
| Rayshawn Mccallum | Charles Schwab & Co., Inc. national BD | Vanguard Advisers, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 5, 2026 | Aug 18, 2026 |
| Marek John Ghezzi | Charles Schwab & Co., Inc. national BD | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Aug 4, 2026 | Aug 13, 2026 |
| Sophie Nhi Sulimowicz | Charles Schwab & Co., Inc. national BD | Oppenheimer & Co. Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 2, 2026 | Jul 22, 2026 |
| David Haertel | Charles Schwab & Co., Inc. national BD | Empower Advisory Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 1, 2026 | Aug 27, 2026 |
| David James Aylor | Charles Schwab & Co., Inc. national BD | Raymond James & Associates, Inc. national BD | Affiliated broker-dealer or bank to another | Aug 1, 2026 | Jul 20, 2026 |
| Madeline Graves | Charles Schwab & Co., Inc. national BD | Strategic Advisers LLC national BD | Affiliated broker-dealer or bank to another | Aug 1, 2026 | Aug 25, 2026 |
| Emily Anne Stevens | Charles Schwab & Co., Inc. national BD | Stratos Wealth Partners, Ltd BD affiliated | Affiliated broker-dealer or bank to another | Aug 1, 2026 | Jul 23, 2026 |
| Brandon Philip Stoker | Charles Schwab & Co., Inc. national BD | Cw Advisors, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 29, 2026 | Jul 20, 2026 |
| Daron Edward Estrada | Charles Schwab & Co., Inc. national BD | Pure Financial Advisors, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 29, 2026 | Jul 15, 2026 |
| Julie Diane Hess | Charles Schwab & Co., Inc. national BD | Edward Jones national BD | Affiliated broker-dealer or bank to another | Jul 29, 2026 | Jul 7, 2026 |
| Kevin Michael Zoul | Charles Schwab & Co., Inc. national BD | Cbiz Investment Advisory Services, LLC institutional | Other | Jul 25, 2026 | Sep 9, 2026 (46 d) |
| Brandon Cone | Charles Schwab & Co., Inc. national BD | Fisher Investments independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 23, 2026 | Jul 24, 2026 |
| Dustin Nicholas French | Charles Schwab & Co., Inc. national BD | Empower Advisory Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 22, 2026 | Aug 6, 2026 |
| Fadila Hamidat | Charles Schwab & Co., Inc. national BD | Strategic Advisers LLC national BD | Affiliated broker-dealer or bank to another | Jul 21, 2026 | Aug 12, 2026 |
| Jacob D Mcfarlane | Charles Schwab & Co., Inc. national BD | Osaic Wealth, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 18, 2026 | Sep 3, 2026 (47 d) |
| Roman Spear | Charles Schwab & Co., Inc. national BD | Cambria Wealth Management independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 18, 2026 | Jul 10, 2026 |
| Chase A Witthuhn | Charles Schwab & Co., Inc. national BD | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Jul 18, 2026 | Jul 20, 2026 |
| Timothy Patrick Killea | Charles Schwab & Co., Inc. national BD | Fisher Investments independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 16, 2026 | Jul 21, 2026 |
| Parker Bass | Charles Schwab & Co., Inc. national BD | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Jul 16, 2026 | Aug 19, 2026 (34 d) |
| Peter J Sellwood | Charles Schwab & Co., Inc. national BD | Cliftonlarsonallen Wealth Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 14, 2026 | Jul 29, 2026 |
| Brett Jones | Charles Schwab & Co., Inc. national BD | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Jul 14, 2026 | Aug 4, 2026 |
| Becca Leigh Brister | Charles Schwab & Co., Inc. national BD | Isc Advisors, Inc. mixed wealth | Affiliated broker-dealer or bank to independent RIA | Jul 13, 2026 | Jun 29, 2026 |
| Vinnie Anto Maliakkal | Charles Schwab & Co., Inc. national BD | Wavvest Wealth independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 13, 2026 | Aug 12, 2026 |
| Joshua Bradford Robbins | Charles Schwab & Co., Inc. national BD | Raymond James Financial Services Advisors, Inc BD affiliated | Affiliated broker-dealer or bank to another | Jul 11, 2026 | Jul 6, 2026 |
| Marisol R O'Neil | Charles Schwab & Co., Inc. national BD | MML Investors Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 10, 2026 | Aug 5, 2026 |
| Matthew Quinlan | Charles Schwab & Co., Inc. national BD | Calamos Wealth Management LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 8, 2026 | Jun 25, 2026 |
| Izabela Urszula Sadeghi | Charles Schwab & Co., Inc. national BD | Transamerica Asset Management, Inc. asset manager | Other | Jul 7, 2026 | Sep 17, 2026 (72 d) |
| Ryan Cecil Marquez | Charles Schwab & Co., Inc. national BD | Empower Advisory Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 4, 2026 | Jul 10, 2026 |
| Bryant Moritz | Charles Schwab & Co., Inc. national BD | Strategic Advisers LLC national BD | Affiliated broker-dealer or bank to another | Jul 4, 2026 | Sep 1, 2026 (59 d) |
| Steven T. Mitchell | Charles Schwab & Co., Inc. national BD | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Jul 4, 2026 | Jul 10, 2026 |
| Kyle P. Bobo | Charles Schwab & Co., Inc. national BD | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Jul 3, 2026 | Jun 29, 2026 |
| Jonathan Ray Guillen | Charles Schwab & Co., Inc. national BD | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Jul 2, 2026 | Jun 11, 2026 |
| Sevada Davoudi | Charles Schwab & Co., Inc. national BD | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Jun 27, 2026 | Jun 15, 2026 |
| Kenneth S Boyer | Charles Schwab & Co., Inc. national BD | Detalus Advisors, LLC mixed wealth | Affiliated broker-dealer or bank to independent RIA | Jun 26, 2026 | Jul 6, 2026 |
Page 1 of 73Next
4,379 moves match.