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 |
|---|---|---|---|---|---|
| Callie Noelle Gracie | Charles Schwab & Co., Inc. national BD | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 4, 2024 | Apr 1, 2025 (148 d) |
| Jayson Cort Jaquess | Charles Schwab & Co., Inc. national BD | The Mather Group, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 4, 2024 | Nov 25, 2024 |
| Manish Krishnamaneni | Charles Schwab & Co., Inc. national BD | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Nov 4, 2024 | Nov 19, 2024 |
| Andrew Louis Nelson | Charles Schwab & Co., Inc. national BD | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 1, 2024 | Apr 25, 2025 (175 d) |
| Bennie Travis Hobson | Charles Schwab & Co., Inc. national BD | Springlake Financial Partners independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 1, 2024 | Dec 17, 2024 (46 d) |
| Tyler Deleon | Charles Schwab & Co., Inc. national BD | Accolade Asset/Liability Advisory Services other | Other | Nov 1, 2024 | Nov 12, 2024 |
| Christopher David Kilfoyle | Charles Schwab & Co., Inc. national BD | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Oct 31, 2024 | Nov 26, 2024 |
| Michael Randolph | Charles Schwab & Co., Inc. national BD | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Oct 30, 2024 | Nov 4, 2024 |
| Yen-Huei Mary Jones | Charles Schwab & Co., Inc. national BD | Mariner BD affiliated | Affiliated broker-dealer or bank to another | Oct 28, 2024 | Dec 17, 2025 (415 d) |
| Vishnu Janardhanan Alse | Charles Schwab & Co., Inc. national BD | Focus Partners Wealth, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 25, 2024 | Jun 12, 2026 (595 d) |
| Andrew Blade Thompson | Charles Schwab & Co., Inc. national BD | Truepoint, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 25, 2024 | Oct 21, 2024 |
| Mitchell Nguyen | Charles Schwab & Co., Inc. national BD | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Oct 25, 2024 | Oct 14, 2024 |
| Eduardo Andres Ramos Perez | Charles Schwab & Co., Inc. national BD | Freedom Advisory independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 25, 2024 | Nov 21, 2024 |
| Austin Patrick Miller | Charles Schwab & Co., Inc. national BD | Capital Client Group, Inc. no RAUM | Other | Oct 25, 2024 | Nov 1, 2024 |
| Anthony Luis Collazo | Charles Schwab & Co., Inc. national BD | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Oct 25, 2024 | Nov 20, 2024 |
| Benjamin R Cason | Charles Schwab & Co., Inc. national BD | Fisher Investments independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 21, 2024 | Jan 15, 2025 (86 d) |
| Brandon Baenke | Charles Schwab & Co., Inc. national BD | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Oct 21, 2024 | Nov 18, 2024 |
| Adam Eisig Rittersporn | Charles Schwab & Co., Inc. national BD | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Oct 21, 2024 | Nov 4, 2024 |
| Samuel J Whalen | Charles Schwab & Co., Inc. national BD | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Oct 21, 2024 | Feb 24, 2025 (126 d) |
| Daniel C Fox | Charles Schwab & Co., Inc. national BD | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Oct 21, 2024 | Oct 29, 2024 |
| Neil Schraffenberger | Charles Schwab & Co., Inc. national BD | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Oct 15, 2024 | Nov 22, 2024 (38 d) |
| Mason Mcevers | Charles Schwab & Co., Inc. national BD | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Oct 15, 2024 | Nov 14, 2024 |
| Gerard Stephen Diaz | Charles Schwab & Co., Inc. national BD | Tlg Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Oct 15, 2024 | Oct 31, 2024 |
| Franklin Cruz Santos | Charles Schwab & Co., Inc. national BD | Fbl Wealth Management, LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 11, 2024 | Oct 22, 2024 |
| Wing-Yin Jung | Charles Schwab & Co., Inc. national BD | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Oct 11, 2024 | Oct 25, 2024 |
| Masoud Rahimi | Charles Schwab & Co., Inc. national BD | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Oct 11, 2024 | Oct 30, 2024 |
| Yik Sing Chan | Charles Schwab & Co., Inc. national BD | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Oct 11, 2024 | Oct 21, 2024 |
| Avilio Alejandro Sutherland Navea | Charles Schwab & Co., Inc. national BD | Eminence Wealth Management Inc. state registered | Affiliated broker-dealer or bank to a state-registered adviser | Oct 10, 2024 | Aug 12, 2025 (306 d) |
| Richard Arthur Munneke | Charles Schwab & Co., Inc. national BD | Td Ameritrade, Inc. no RAUM | Other | Oct 8, 2024 | Jul 28, 2021 |
| Christopher Joseph Simcho | Charles Schwab & Co., Inc. national BD | Td Ameritrade, Inc. no RAUM | Other | Oct 4, 2024 | May 2, 2022 |
| Emily Greitens | Charles Schwab & Co., Inc. national BD | Empower Advisory Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 4, 2024 | Oct 17, 2024 |
| Cody Joseph Brazill | Charles Schwab & Co., Inc. national BD | Capital Client Group, Inc. no RAUM | Other | Oct 4, 2024 | Oct 26, 2024 |
| Colin Phelps | Charles Schwab & Co., Inc. national BD | UBS Financial Services Inc. wirehouse | Affiliated broker-dealer or bank to wirehouse | Oct 4, 2024 | May 8, 2025 (216 d) |
| John M. Ford | Charles Schwab & Co., Inc. national BD | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Oct 3, 2024 | Feb 26, 2025 (146 d) |
| Mary Jane Ferry | Charles Schwab & Co., Inc. national BD | LPL Enterprise, LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Oct 3, 2024 | Oct 1, 2024 |
| Kristofer Garrett Lyons | Charles Schwab & Co., Inc. national BD | Tci Wealth Advisors, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 2, 2024 | Nov 1, 2024 |
| Michael Robert Benstein | Charles Schwab & Co., Inc. national BD | William Blair & Company L.L.C. BD affiliated | Affiliated broker-dealer or bank to another | Oct 1, 2024 | Oct 7, 2024 |
| Miguel Montejano | Charles Schwab & Co., Inc. national BD | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Oct 1, 2024 | Oct 25, 2024 |
| Chenbing Dai | Charles Schwab & Co., Inc. national BD | First Command Advisory Services BD affiliated | Affiliated broker-dealer or bank to another | Oct 1, 2024 | Jul 9, 2025 (281 d) |
| Trinidad Salinas | Charles Schwab & Co., Inc. national BD | Cuso Financial Services, L.P. BD affiliated | Affiliated broker-dealer or bank to another | Sep 30, 2024 | Dec 17, 2024 (78 d) |
| Alexys Z. Serchay | Charles Schwab & Co., Inc. national BD | Trajan Wealth, L.L.C. independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 30, 2024 | Oct 2, 2024 |
| Jason Patrick Zephir | Charles Schwab & Co., Inc. national BD | Empower Advisory Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 27, 2024 | Oct 15, 2024 |
| Benjamin J Lee | Charles Schwab & Co., Inc. national BD | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Sep 27, 2024 | Oct 4, 2024 |
| Thomas J Randt | Charles Schwab & Co., Inc. national BD | Sparta Wealth Partners independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 27, 2024 | Oct 2, 2024 |
| John Cameron Parr Harper | Charles Schwab & Co., Inc. national BD | Fisher Investments independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 25, 2024 | Nov 13, 2024 (49 d) |
| Diego Llano | Charles Schwab & Co., Inc. national BD | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Sep 25, 2024 | Oct 17, 2024 |
| Dean Keith Richardson | Charles Schwab & Co., Inc. national BD | Blackrock Investment Management, LLC other | Other | Sep 25, 2024 | Oct 9, 2024 |
| Jackson Bennette | Charles Schwab & Co., Inc. national BD | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Sep 25, 2024 | Oct 10, 2024 |
| Gregory Christopher Neino | Charles Schwab & Co., Inc. national BD | Retiremitten Financial LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 20, 2024 | Sep 9, 2024 |
| Jacob Frederick Derrig | Charles Schwab & Co., Inc. national BD | Momentum Wealth Management state registered | Affiliated broker-dealer or bank to a state-registered adviser | Sep 20, 2024 | Dec 18, 2024 (89 d) |
| Jhonatan White | Charles Schwab & Co., Inc. national BD | Sentinel Pension Advisors, LLC. institutional | Other | Sep 20, 2024 | Sep 16, 2024 |
| Fred M Surganty | Charles Schwab & Co., Inc. national BD | Spc BD affiliated | Affiliated broker-dealer or bank to another | Sep 19, 2024 | Sep 9, 2024 |
| Scharles Melvin Sharpe-Crosby | Charles Schwab & Co., Inc. national BD | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Sep 19, 2024 | Oct 8, 2025 (384 d) |
| Sarah Larson | Charles Schwab & Co., Inc. national BD | Strategic Advisers LLC national BD | Affiliated broker-dealer or bank to another | Sep 19, 2024 | Jul 10, 2025 (294 d) |
| Robert Nodar | Charles Schwab & Co., Inc. national BD | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 17, 2024 | Nov 4, 2024 (48 d) |
| Brian Todd Sanders | Charles Schwab & Co., Inc. national BD | New Age Alpha asset manager | Other | Sep 13, 2024 | May 21, 2025 (250 d) |
| Tanya Martinez | Charles Schwab & Co., Inc. national BD | MML Investors Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 12, 2024 | Feb 11, 2025 (152 d) |
| Steven Paul Saunders | Charles Schwab & Co., Inc. national BD | Fisher Investments independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 12, 2024 | Sep 17, 2024 |
| Jake Matysek | Charles Schwab & Co., Inc. national BD | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Sep 12, 2024 | Sep 10, 2024 |
| Gabriel Dias | Charles Schwab & Co., Inc. national BD | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Sep 12, 2024 | Sep 18, 2024 |
4,388 moves match.