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 |
|---|---|---|---|---|---|
| John Hanna | Charles Schwab & Co., Inc. national BD | Key Investment Services LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 15, 2025 | Oct 15, 2025 |
| Zachary Thomas Falconer | Charles Schwab & Co., Inc. national BD | Lafleur & Godfrey Private Wealth Management independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 15, 2025 | Oct 19, 2025 |
| Laura Marie Olney | Charles Schwab & Co., Inc. national BD | Tru Independence Asset Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 8, 2025 | Feb 12, 2026 (127 d) |
| Zachary John Zewiske | Charles Schwab & Co., Inc. national BD | Nadler Financial Group, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 7, 2025 | Nov 12, 2025 (36 d) |
| Micah Mendillo | Charles Schwab & Co., Inc. national BD | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Oct 3, 2025 | Oct 15, 2025 |
| Austin Matthew Castillo | Charles Schwab & Co., Inc. national BD | Strategy Financial Group independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 1, 2025 | Oct 27, 2025 |
| Jeffrey Michael May | Charles Schwab & Co., Inc. national BD | Florian Financial Group LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 27, 2025 | Oct 14, 2025 |
| Chris Hu | Charles Schwab & Co., Inc. national BD | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Sep 27, 2025 | Sep 10, 2025 |
| Matthew J Antos | Charles Schwab & Co., Inc. national BD | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 27, 2025 | Oct 14, 2025 |
| Haley Renee Guthrie | Charles Schwab & Co., Inc. national BD | Strategic Advisers LLC national BD | Affiliated broker-dealer or bank to another | Sep 26, 2025 | Oct 17, 2025 |
| Gunnar Marino | Charles Schwab & Co., Inc. national BD | Peregrine Asset Advisers, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 26, 2025 | Oct 2, 2025 |
| Johnny Devere Jones | Charles Schwab & Co., Inc. national BD | Atlatl Advisers independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 24, 2025 | Dec 15, 2025 (82 d) |
| Joanne Zhe Wang | Charles Schwab & Co., Inc. national BD | UBS Financial Services Inc. wirehouse | Affiliated broker-dealer or bank to wirehouse | Sep 23, 2025 | Sep 8, 2025 |
| Guy Pierre | Charles Schwab & Co., Inc. national BD | Td Private Client Wealth LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 23, 2025 | Feb 4, 2026 (134 d) |
| Ellen Golterman | Charles Schwab & Co., Inc. national BD | Strategic Advisers LLC national BD | Affiliated broker-dealer or bank to another | Sep 23, 2025 | Sep 25, 2025 |
| Andrew Joseph Wilhite | Charles Schwab & Co., Inc. national BD | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Sep 23, 2025 | Sep 26, 2025 |
| Brady Vance Bell | Charles Schwab & Co., Inc. national BD | Cwm, LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 23, 2025 | Sep 29, 2025 |
| Nicholas-Hai Hoang Hathuc | Charles Schwab & Co., Inc. national BD | Forvis Mazars Wealth Advisors, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 22, 2025 | Sep 12, 2025 |
| Philip Carroll | Charles Schwab & Co., Inc. national BD | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Sep 17, 2025 | Sep 25, 2025 |
| Brett Michael Rayshell | Charles Schwab & Co., Inc. national BD | Fisher Investments independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 16, 2025 | Oct 17, 2025 (31 d) |
| Joseph Alexander Waris | Charles Schwab & Co., Inc. national BD | Oppenheimer & Co. Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 16, 2025 | May 4, 2026 (230 d) |
| Ken Thanh Hung Ngo | Charles Schwab & Co., Inc. national BD | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Sep 11, 2025 | Sep 26, 2025 |
| Nona Avetisyan | Charles Schwab & Co., Inc. national BD | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Sep 10, 2025 | Oct 3, 2025 |
| Jaden Butnaru | Charles Schwab & Co., Inc. national BD | Sanctuary Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 6, 2025 | Aug 20, 2025 |
| Anthony Nicholas Debaltzo | Charles Schwab & Co., Inc. national BD | Gatepass Capital, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 5, 2025 | Nov 30, 2025 (86 d) |
| Husnia Lutfi | Charles Schwab & Co., Inc. national BD | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Sep 5, 2025 | Jul 3, 2026 (301 d) |
| Jonathan Ho Wang | Charles Schwab & Co., Inc. national BD | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Sep 3, 2025 | Aug 29, 2025 |
| Jacob Ross Klein | Charles Schwab & Co., Inc. national BD | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Aug 30, 2025 | Sep 8, 2025 |
| Steve Fang | Charles Schwab & Co., Inc. national BD | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 30, 2025 | Jan 6, 2026 (129 d) |
| Cody E Hamilton | Charles Schwab & Co., Inc. national BD | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Aug 30, 2025 | Apr 15, 2026 (228 d) |
| Jennifer Mcdonough | Charles Schwab & Co., Inc. national BD | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Aug 30, 2025 | Aug 18, 2025 |
| Nicholas Brinkman | Charles Schwab & Co., Inc. national BD | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 29, 2025 | Dec 16, 2025 (109 d) |
| Edward Jerome Walawender | Charles Schwab & Co., Inc. national BD | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 27, 2025 | Sep 22, 2025 |
| Jennifer Small | Charles Schwab & Co., Inc. national BD | Hightower Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 27, 2025 | Aug 20, 2025 |
| Joshua Johnson | Charles Schwab & Co., Inc. national BD | Pnc Wealth Management BD affiliated | Affiliated broker-dealer or bank to another | Aug 27, 2025 | Sep 23, 2025 |
| Blaine Matthew Rogers | Charles Schwab & Co., Inc. national BD | Fisher Investments independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 22, 2025 | Oct 17, 2025 (56 d) |
| Andrew James Mitchell | Charles Schwab & Co., Inc. national BD | Sound Income Strategies, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 22, 2025 | Aug 4, 2025 |
| Makayla Dawn Machacek | Charles Schwab & Co., Inc. national BD | Evergreen Wealth Advisors mixed wealth | Affiliated broker-dealer or bank to independent RIA | Aug 22, 2025 | Aug 21, 2025 |
| Keaton Russell | Charles Schwab & Co., Inc. national BD | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Aug 20, 2025 | Oct 9, 2025 (50 d) |
| Kenneth Charles Green | Charles Schwab & Co., Inc. national BD | New Edge Wealth BD affiliated | Affiliated broker-dealer or bank to another | Aug 17, 2025 | Aug 17, 2026 (365 d) |
| Edward Meyer | Charles Schwab & Co., Inc. national BD | Mariner BD affiliated | Affiliated broker-dealer or bank to another | Aug 16, 2025 | Feb 20, 2026 (188 d) |
| Brady Joseph Haraden | Charles Schwab & Co., Inc. national BD | Strategic Advisers LLC national BD | Affiliated broker-dealer or bank to another | Aug 16, 2025 | Oct 8, 2025 (53 d) |
| Logan Hunter Johnson | Charles Schwab & Co., Inc. national BD | Sequoia Financial Group, L.L.C. independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 16, 2025 | Jun 19, 2026 (307 d) |
| Christopher Henson | Charles Schwab & Co., Inc. national BD | Raymond James & Associates, Inc. national BD | Affiliated broker-dealer or bank to another | Aug 15, 2025 | Sep 12, 2025 |
| Michael Perez Juarez | Charles Schwab & Co., Inc. national BD | Voya Retirement Advisors, LLC other | Other | Aug 12, 2025 | Dec 2, 2025 (112 d) |
| Clayton Keyes | Charles Schwab & Co., Inc. national BD | Evergreen Wealth Advisors mixed wealth | Affiliated broker-dealer or bank to independent RIA | Aug 12, 2025 | Aug 21, 2025 |
| Matthias Kattick | Charles Schwab & Co., Inc. national BD | Strategic Advisers LLC national BD | Affiliated broker-dealer or bank to another | Aug 11, 2025 | Feb 5, 2026 (178 d) |
| Jesse James Austin | Charles Schwab & Co., Inc. national BD | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Aug 11, 2025 | Sep 18, 2025 (38 d) |
| Jake Perrine | Charles Schwab & Co., Inc. national BD | Strategic Advisers LLC national BD | Affiliated broker-dealer or bank to another | Aug 10, 2025 | Sep 22, 2025 (43 d) |
| Jonathan Isaacman | Charles Schwab & Co., Inc. national BD | Kayne Anderson Rudnick Investment Management, LLC other | Other | Aug 9, 2025 | Aug 14, 2025 |
| Adam Scott Radin | Charles Schwab & Co., Inc. national BD | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 7, 2025 | Nov 12, 2025 (97 d) |
| Matthew Brian Danaher | Charles Schwab & Co., Inc. national BD | U.S. Bancorp Investments, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 7, 2025 | Sep 11, 2025 (35 d) |
| Bradley S Strickland | Charles Schwab & Co., Inc. national BD | Edward Jones national BD | Affiliated broker-dealer or bank to another | Aug 7, 2025 | Jul 7, 2026 (334 d) |
| Gregory Joseph Baker | Charles Schwab & Co., Inc. national BD | Clark Asset Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 3, 2025 | Sep 17, 2025 (45 d) |
| Canji Liang | Charles Schwab & Co., Inc. national BD | Hsbc Securities (USA) Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 2, 2025 | Aug 13, 2025 |
| Samuel Bentil-Owusu | Charles Schwab & Co., Inc. national BD | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Jul 30, 2025 | Aug 1, 2025 |
| Jared Barnes | Charles Schwab & Co., Inc. national BD | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Jul 30, 2025 | Jul 21, 2025 |
| Courtney Rhuez Sprinkle | Charles Schwab & Co., Inc. national BD | LPL Enterprise, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 28, 2025 | Nov 24, 2025 (119 d) |
| Robert Alex Luten | Charles Schwab & Co., Inc. national BD | Vanguard Advisers, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 26, 2025 | Sep 11, 2025 (47 d) |
| Barbara Christine Tsinakis | Charles Schwab & Co., Inc. national BD | Vanguard Advisers, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 26, 2025 | Aug 13, 2025 |
4,384 moves match.