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 |
|---|---|---|---|---|---|
| Mark C Rowe | Charles Schwab & Co., Inc. national BD | Strategic Advisers LLC national BD | Affiliated broker-dealer or bank to another | Apr 17, 2026 | Jun 18, 2026 (62 d) |
| Kaleb E Fleming | Charles Schwab & Co., Inc. national BD | Truist Advisory Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 17, 2026 | Sep 11, 2026 (147 d) |
| Nathan Andrew Zeichner | Charles Schwab & Co., Inc. national BD | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Apr 17, 2026 | Jul 17, 2026 (91 d) |
| Kellan Donald Schulz | Charles Schwab & Co., Inc. national BD | Raymond James Financial Services Advisors, Inc BD affiliated | Affiliated broker-dealer or bank to another | Apr 16, 2026 | Apr 6, 2026 |
| Jackson Fitzgerald Oreilly | Charles Schwab & Co., Inc. national BD | Brighton Jones LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 15, 2026 | Apr 3, 2026 |
| Julia Catherine Grose | Charles Schwab & Co., Inc. national BD | Schwab Wealth Advisory, Inc. other | Other | Apr 12, 2026 | Aug 22, 2017 |
| Brittney Axsom | Charles Schwab & Co., Inc. national BD | Empower Advisory Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 11, 2026 | Apr 24, 2026 |
| Andrew Kha | Charles Schwab & Co., Inc. national BD | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Apr 9, 2026 | Mar 31, 2026 |
| Robert Schmitt | Charles Schwab & Co., Inc. national BD | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Apr 5, 2026 | Jul 28, 2026 (114 d) |
| Loredana M Morosanu | Charles Schwab & Co., Inc. national BD | Captrust institutional | Other | Apr 4, 2026 | Apr 20, 2026 |
| Pierce E Roe | Charles Schwab & Co., Inc. national BD | Gettings Busch Wealth Management independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 4, 2026 | Mar 27, 2026 |
| Jeremiah Luke Tucker | Charles Schwab & Co., Inc. national BD | Independent Wealth Network, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 31, 2026 | Jul 21, 2026 (112 d) |
| Matthew Parmelee | Charles Schwab & Co., Inc. national BD | Strategic Advisers LLC national BD | Affiliated broker-dealer or bank to another | Mar 28, 2026 | Apr 15, 2026 |
| Rachel Catherine Hite | Charles Schwab & Co., Inc. national BD | Vanguard Advisers, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 28, 2026 | Mar 31, 2026 |
| Christian Tolino | Charles Schwab & Co., Inc. national BD | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Mar 28, 2026 | Apr 7, 2026 |
| Uniqua Deberry | Charles Schwab & Co., Inc. national BD | Thrivent Investment Management Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 28, 2026 | May 6, 2026 (39 d) |
| Michael W Runyon | Charles Schwab & Co., Inc. national BD | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Mar 28, 2026 | Mar 16, 2026 |
| Nicholas Robert Hassig | Charles Schwab & Co., Inc. national BD | Root Financial Partners independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 25, 2026 | Mar 10, 2026 |
| Genesis Meave | Charles Schwab & Co., Inc. national BD | Advice And Planning Services BD affiliated | Affiliated broker-dealer or bank to another | Mar 25, 2026 | May 1, 2026 (37 d) |
| Jordan Johnson | Charles Schwab & Co., Inc. national BD | Edelman Financial Engines independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 21, 2026 | Mar 11, 2026 |
| Kyle Michael Summerville | Charles Schwab & Co., Inc. national BD | Moss, Luse & Womble, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 21, 2026 | Apr 3, 2026 |
| Grant Taylor Styers | Charles Schwab & Co., Inc. national BD | Fisher Investments independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 20, 2026 | Apr 6, 2026 |
| Denver C Horn | Charles Schwab & Co., Inc. national BD | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Mar 5, 2026 | Apr 13, 2026 (39 d) |
| Andrea M Sig | Charles Schwab & Co., Inc. national BD | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 28, 2026 | Mar 11, 2026 |
| Carlos Luis Isturiz | Charles Schwab & Co., Inc. national BD | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 28, 2026 | Feb 20, 2026 |
| Michael Marques Deoliveira | Charles Schwab & Co., Inc. national BD | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 27, 2026 | May 19, 2026 (81 d) |
| Allen Paul Braunbeck | Charles Schwab & Co., Inc. national BD | Kingdom Financial Group, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 25, 2026 | Mar 4, 2026 |
| Jaye Clifford Oppedahl Ferguson | Charles Schwab & Co., Inc. national BD | Sovran Advisors, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 22, 2026 | Feb 9, 2026 |
| Joseph Griffin Deignan | Charles Schwab & Co., Inc. national BD | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Feb 22, 2026 | Mar 13, 2026 |
| Thomas Marshall Mcconnell | Charles Schwab & Co., Inc. national BD | Raymond James Financial Services Advisors, Inc BD affiliated | Affiliated broker-dealer or bank to another | Feb 20, 2026 | May 6, 2026 (75 d) |
| Matthew Allen Petersen | Charles Schwab & Co., Inc. national BD | Fifth Third Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Feb 20, 2026 | Feb 27, 2026 |
| Aidan D Mejia | Charles Schwab & Co., Inc. national BD | Archer Investment Corporation independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 19, 2026 | Feb 9, 2026 |
| Lathen Hardy | Charles Schwab & Co., Inc. national BD | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Feb 18, 2026 | Feb 11, 2026 |
| Robert Craig Baird | Charles Schwab & Co., Inc. national BD | Corecap Advisors BD affiliated | Affiliated broker-dealer or bank to another | Feb 17, 2026 | Feb 18, 2026 |
| Alan James Coddington | Charles Schwab & Co., Inc. national BD | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Feb 14, 2026 | Feb 12, 2026 |
| Stephen Derrick Farrar | Charles Schwab & Co., Inc. national BD | Vanguard Advisers, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Feb 13, 2026 | Feb 25, 2026 |
| Dina Siracusa Tupper | Charles Schwab & Co., Inc. national BD | Schwab Wealth Advisory, Inc. no RAUM | Other | Feb 11, 2026 | Dec 15, 2025 |
| Nicholas Maue | Charles Schwab & Co., Inc. national BD | Citizens Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Feb 11, 2026 | Feb 24, 2026 |
| Kyle Penders | Charles Schwab & Co., Inc. national BD | Steward Partners Investment Advisory, LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 10, 2026 | May 12, 2026 (91 d) |
| Sean Patrick Larkins | Charles Schwab & Co., Inc. national BD | Schwab Wealth Advisory, Inc. no RAUM | Other | Feb 9, 2026 | Feb 9, 2026 |
| Kirk Diefenbach | Charles Schwab & Co., Inc. national BD | Empower Advisory Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 8, 2026 | Jul 10, 2026 (152 d) |
| Travis Monroe Sheldon | Charles Schwab & Co., Inc. national BD | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 8, 2026 | Feb 5, 2026 |
| Paul Jones | Charles Schwab & Co., Inc. national BD | Truist Advisory Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Feb 7, 2026 | Jan 29, 2026 |
| Garrett Lucchesi | Charles Schwab & Co., Inc. national BD | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Feb 6, 2026 | Feb 20, 2026 |
| Lu Ann Hartley | Charles Schwab & Co., Inc. national BD | Empower Advisory Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 6, 2026 | Jun 11, 2026 (125 d) |
| Emile Niyonkuru | Charles Schwab & Co., Inc. national BD | Granite Harbor Advisors, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 5, 2026 | Aug 25, 2026 (201 d) |
| Brad Lewis Heaps | Charles Schwab & Co., Inc. national BD | Farther independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 2, 2026 | Feb 24, 2026 |
| Alex Matthew Flaugher | Charles Schwab & Co., Inc. national BD | Moment Private Wealth independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 1, 2026 | Mar 3, 2026 |
| Sherry Anselmo | Charles Schwab & Co., Inc. national BD | Ep Wealth Advisors independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 31, 2026 | Apr 9, 2026 (68 d) |
| Tabitha Noel Balthasar-Baguio | Charles Schwab & Co., Inc. national BD | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Jan 28, 2026 | Sep 10, 2026 (225 d) |
| Brian Seidenwand | Charles Schwab & Co., Inc. national BD | Coppell Advisory Solutions LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 22, 2026 | Jan 23, 2026 |
| Andre Smith | Charles Schwab & Co., Inc. national BD | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 18, 2026 | Apr 1, 2026 (73 d) |
| Samuel Lawson Faria | Charles Schwab & Co., Inc. national BD | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Jan 17, 2026 | Jan 5, 2026 |
| Benjamin Jacob Cota | Charles Schwab & Co., Inc. national BD | Park Avenue Securities LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 15, 2026 | Aug 14, 2026 (211 d) |
| Justin Michael Ellis | Charles Schwab & Co., Inc. national BD | Strategic Advisers LLC national BD | Affiliated broker-dealer or bank to another | Jan 15, 2026 | Mar 2, 2026 (46 d) |
| Katie Jo'Anne Carpenter | Charles Schwab & Co., Inc. national BD | Springlake Financial Partners independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 14, 2026 | Jan 9, 2026 |
| Caleb Gene King | Charles Schwab & Co., Inc. national BD | Capital Client Group, Inc. no RAUM | Other | Jan 8, 2026 | Feb 11, 2026 (34 d) |
| Matthew John Robinson | Charles Schwab & Co., Inc. national BD | Vanguard Advisers, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jan 4, 2026 | Mar 17, 2026 (72 d) |
| Nicholas Steven Withington | Charles Schwab & Co., Inc. national BD | Vestgen Advisors, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 24, 2025 | Dec 18, 2025 |
| Jason Weis | Charles Schwab & Co., Inc. national BD | Advisory Services Network independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 24, 2025 | Dec 19, 2025 |
4,384 moves match.