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 |
|---|---|---|---|---|---|
| Pierce Nicholas Brown | Charles Schwab & Co., Inc. national BD | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 9, 2024 | Oct 10, 2024 (31 d) |
| Michael A Wieczorek | Charles Schwab & Co., Inc. national BD | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Sep 6, 2024 | Sep 23, 2024 |
| Lee Michael Sherlock | Charles Schwab & Co., Inc. national BD | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Sep 5, 2024 | Nov 6, 2024 (62 d) |
| William A Johnson | Charles Schwab & Co., Inc. national BD | First Citizens Investor Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 4, 2024 | Feb 25, 2026 (539 d) |
| Austin R. Rush | Charles Schwab & Co., Inc. national BD | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Sep 4, 2024 | Aug 13, 2024 |
| Joann Kim Ngan Gorbatov | Charles Schwab & Co., Inc. national BD | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Sep 4, 2024 | Oct 21, 2024 (47 d) |
| Walid Jack Elkhoury | Charles Schwab & Co., Inc. national BD | Elevation Wealth Management independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 28, 2024 | Aug 28, 2024 |
| Peter John William Post Brownrigg | Charles Schwab & Co., Inc. national BD | Empower Advisory Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 26, 2024 | Dec 5, 2024 (101 d) |
| John Wapelhorst | Charles Schwab & Co., Inc. national BD | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Aug 26, 2024 | Feb 27, 2025 (185 d) |
| Jeremy Allen Smith | Charles Schwab & Co., Inc. national BD | Empower Advisory Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 23, 2024 | Jan 6, 2026 (501 d) |
| Joseph D Millard | Charles Schwab & Co., Inc. national BD | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Aug 23, 2024 | Aug 28, 2024 |
| Lisa Louise Lauria | Charles Schwab & Co., Inc. national BD | MML Investors Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 22, 2024 | Sep 3, 2024 |
| Nicolas Gabriel Hernandez | Charles Schwab & Co., Inc. national BD | Truist Advisory Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 22, 2024 | Aug 31, 2024 |
| Tatum Koy Schuler | Charles Schwab & Co., Inc. national BD | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 21, 2024 | Aug 8, 2024 |
| Nathan M Lieb | Charles Schwab & Co., Inc. national BD | Edward Jones national BD | Affiliated broker-dealer or bank to another | Aug 21, 2024 | Aug 9, 2024 |
| Reagan Holly | Charles Schwab & Co., Inc. national BD | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Aug 21, 2024 | Sep 10, 2024 |
| Kristin Mackay Sullivan | Charles Schwab & Co., Inc. national BD | Raymond James Financial Services Advisors, Inc BD affiliated | Affiliated broker-dealer or bank to another | Aug 19, 2024 | Aug 5, 2024 |
| Tamara Anderson | Charles Schwab & Co., Inc. national BD | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Aug 19, 2024 | Oct 1, 2024 (43 d) |
| Kevin N Barlow | Charles Schwab & Co., Inc. national BD | First Trust Advisors LP asset manager | Other | Aug 16, 2024 | Aug 20, 2024 |
| Richard Huber | Charles Schwab & Co., Inc. national BD | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Aug 16, 2024 | Sep 26, 2024 (41 d) |
| Ryan Richardson | Charles Schwab & Co., Inc. national BD | Sofi Wealth LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 16, 2024 | Aug 29, 2024 |
| Laurin Elizabeth Starck | Charles Schwab & Co., Inc. national BD | Halo Investment Services, LLC other | Other | Aug 15, 2024 | Jan 30, 2026 (533 d) |
| Jason Robert Fannon | Charles Schwab & Co., Inc. national BD | Corecap Advisors BD affiliated | Affiliated broker-dealer or bank to another | Aug 14, 2024 | Aug 20, 2024 |
| Bridger Dawson | Charles Schwab & Co., Inc. national BD | Edward Jones national BD | Affiliated broker-dealer or bank to another | Aug 14, 2024 | Aug 30, 2024 |
| Tyler Duc Trung Nguyen | Charles Schwab & Co., Inc. national BD | Fisher Investments independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 14, 2024 | Aug 14, 2024 |
| Hillman Kye Mccann | Charles Schwab & Co., Inc. national BD | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Aug 14, 2024 | Aug 21, 2024 |
| Samuel Joseph Hawkinson | Charles Schwab & Co., Inc. national BD | Fisher Investments independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 9, 2024 | Mar 13, 2026 (581 d) |
| Talon Bryce Pitchforth | Charles Schwab & Co., Inc. national BD | Interwise independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 9, 2024 | Aug 8, 2024 |
| Yu Hong Tan | Charles Schwab & Co., Inc. national BD | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Aug 9, 2024 | Oct 10, 2024 (62 d) |
| Reeya Hiren Patel | Charles Schwab & Co., Inc. national BD | Agw Capital Advisors independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 9, 2024 | Oct 27, 2025 (444 d) |
| Alexander Robert True | Charles Schwab & Co., Inc. national BD | Corient independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 9, 2024 | Jun 17, 2026 (677 d) |
| Ava Marie Camposano | Charles Schwab & Co., Inc. national BD | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Aug 9, 2024 | Aug 1, 2025 (357 d) |
| Hongyu Liu | Charles Schwab & Co., Inc. national BD | Alliancebernstein L.P. asset manager | Other | Aug 9, 2024 | Mar 13, 2025 (216 d) |
| Ryan Alan Mende | Charles Schwab & Co., Inc. national BD | Mende Financial Council, Inc. state registered | Affiliated broker-dealer or bank to a state-registered adviser | Aug 8, 2024 | Apr 17, 2025 (252 d) |
| Cheryl Lynn Kimmel | Charles Schwab & Co., Inc. national BD | Empower Advisory Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 6, 2024 | Dec 6, 2024 (122 d) |
| William Scott Abram | Charles Schwab & Co., Inc. national BD | Churchill Management Group independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 6, 2024 | Jul 25, 2024 |
| Benjamin Eggleston | Charles Schwab & Co., Inc. national BD | Bankers Life Advisory Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 5, 2024 | Sep 26, 2025 (417 d) |
| Sean Michael Newman | Charles Schwab & Co., Inc. national BD | Advice And Planning Services BD affiliated | Affiliated broker-dealer or bank to another | Aug 5, 2024 | Apr 29, 2025 (267 d) |
| Andrew Michael Morgasen | Charles Schwab & Co., Inc. national BD | Next Financial Group, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 2, 2024 | Jul 19, 2024 |
| Monica Hyun Hwa Kim | Charles Schwab & Co., Inc. national BD | Empower Advisory Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 2, 2024 | Aug 8, 2024 |
| Benjamin Franklin Mossoney | Charles Schwab & Co., Inc. national BD | Td Ameritrade, Inc. no RAUM | Other | Aug 2, 2024 | Sep 30, 2022 |
| Joann Michelle Jolly | Charles Schwab & Co., Inc. national BD | &Partners independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 31, 2024 | Jun 8, 2026 (677 d) |
| Neha Sachin Lande | Charles Schwab & Co., Inc. national BD | Bankers Life Advisory Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 31, 2024 | Jan 15, 2026 (533 d) |
| Cameron Lee Mcgregor | Charles Schwab & Co., Inc. national BD | Fisher Investments independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 31, 2024 | Mar 14, 2025 (226 d) |
| Josef David Barr | Charles Schwab & Co., Inc. national BD | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Jul 31, 2024 | Aug 12, 2024 |
| Darren Gee | Charles Schwab & Co., Inc. national BD | Stratos Wealth Partners, Ltd BD affiliated | Affiliated broker-dealer or bank to another | Jul 30, 2024 | Jul 31, 2024 |
| David Robert Herron | Charles Schwab & Co., Inc. national BD | Advice And Planning Services BD affiliated | Affiliated broker-dealer or bank to another | Jul 29, 2024 | Sep 13, 2024 (46 d) |
| Mike E Gula | Charles Schwab & Co., Inc. national BD | F L Putnam Investment Management Co. independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 29, 2024 | Feb 27, 2026 (578 d) |
| Michaela Gayapanao Pablo | Charles Schwab & Co., Inc. national BD | Fisher Investments independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 29, 2024 | Sep 12, 2024 (45 d) |
| Matthew T Halverson | Charles Schwab & Co., Inc. national BD | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Jul 29, 2024 | Aug 29, 2024 (31 d) |
| Colin D Farr | Charles Schwab & Co., Inc. national BD | Savvy independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 26, 2024 | Jul 24, 2024 |
| Tessa Schiffers | Charles Schwab & Co., Inc. national BD | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Jul 26, 2024 | Aug 19, 2024 |
| Bryce Roy | Charles Schwab & Co., Inc. national BD | Fisher Investments independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 26, 2024 | Sep 10, 2024 (46 d) |
| James Connard Haney | Charles Schwab & Co., Inc. national BD | Empower Advisory Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 25, 2024 | Oct 23, 2024 (90 d) |
| Bradley Watts | Charles Schwab & Co., Inc. national BD | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Jul 25, 2024 | Aug 12, 2024 |
| Joshua Gravois | Charles Schwab & Co., Inc. national BD | T. Rowe Price Advisory Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 25, 2024 | Aug 16, 2024 |
| Craig Matthew Richardson | Charles Schwab & Co., Inc. national BD | Raymond James Financial Services Advisors, Inc BD affiliated | Affiliated broker-dealer or bank to another | Jul 23, 2024 | Jul 24, 2024 |
| Peter Nicholas Espiritu | Charles Schwab & Co., Inc. national BD | Bakeravenue independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 23, 2024 | Jul 10, 2024 |
| Jack Herman | Charles Schwab & Co., Inc. national BD | Fbl Wealth Management, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 23, 2024 | Aug 23, 2024 (31 d) |
| Victor Kossowicz | Charles Schwab & Co., Inc. national BD | Pnc Wealth Management BD affiliated | Affiliated broker-dealer or bank to another | Jul 17, 2024 | Mar 21, 2025 (247 d) |
4,388 moves match.