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 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 |
| Nicholas Anthony Fontanella | Charles Schwab & Co., Inc. national BD | Td Ameritrade, Inc. no RAUM | Other | Jul 26, 2025 | Jun 13, 2022 |
| Mason Homsey | Charles Schwab & Co., Inc. national BD | Strategic Advisers LLC national BD | Affiliated broker-dealer or bank to another | Jul 26, 2025 | Aug 19, 2025 |
| Cristian Arman Marceleno | Charles Schwab & Co., Inc. national BD | Vanguard Advisers, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 21, 2025 | Feb 5, 2026 (199 d) |
| Sarah Jean Wilson | Charles Schwab & Co., Inc. national BD | 25 Financial independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 19, 2025 | Sep 15, 2025 (58 d) |
| Caryn Nichole Cocchia | Charles Schwab & Co., Inc. national BD | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Jul 18, 2025 | Jul 2, 2025 |
| Robert Giuffrida | Charles Schwab & Co., Inc. national BD | Td Private Client Wealth LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 12, 2025 | Dec 4, 2025 (145 d) |
| Daniel John Wack | Charles Schwab & Co., Inc. national BD | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 12, 2025 | Feb 3, 2026 (206 d) |
| Joshua Gw Mccammon | Charles Schwab & Co., Inc. national BD | Td Ameritrade Investment Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 12, 2025 | Jan 24, 2023 |
| Liam Quintin Smith | Charles Schwab & Co., Inc. national BD | Cwm, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 12, 2025 | Oct 13, 2025 (93 d) |
| Darren Benjamin Stance | Charles Schwab & Co., Inc. national BD | MML Investors Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 11, 2025 | Jan 12, 2026 (185 d) |
| Nicholas Edwin Kolb | Charles Schwab & Co., Inc. national BD | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 11, 2025 | Jul 10, 2025 |
| Zohaib Rizwan | Charles Schwab & Co., Inc. national BD | Strategic Advisers LLC national BD | Affiliated broker-dealer or bank to another | Jul 11, 2025 | Aug 27, 2025 (47 d) |
| Borui Zhang | Charles Schwab & Co., Inc. national BD | Youya Wealth state registered | Affiliated broker-dealer or bank to a state-registered adviser | Jul 10, 2025 | May 8, 2026 (302 d) |
| Trent D Strietelmeier | Charles Schwab & Co., Inc. national BD | Thrivent Investment Management Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 10, 2025 | Aug 14, 2025 (35 d) |
| Nicholas Cvetanovich | Charles Schwab & Co., Inc. national BD | Trajan Wealth, L.L.C. independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 6, 2025 | Oct 9, 2025 (95 d) |
| Daniel James Hogan | Charles Schwab & Co., Inc. national BD | Strategic Advisers LLC national BD | Affiliated broker-dealer or bank to another | Jul 6, 2025 | Sep 25, 2025 (81 d) |
| Zachary Paul Davis | Charles Schwab & Co., Inc. national BD | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Jul 6, 2025 | Jul 23, 2025 |
| Desiree Danielle De Hoyos | Charles Schwab & Co., Inc. national BD | Fisher Investments independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 2, 2025 | Jul 3, 2025 |
| Justin Hoang | Charles Schwab & Co., Inc. national BD | Robinhood Asset Management BD affiliated | Affiliated broker-dealer or bank to another | Jul 2, 2025 | Apr 28, 2026 (300 d) |
| Dean Anthony Russo | Charles Schwab & Co., Inc. national BD | Cutler Investment Group independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 1, 2025 | Jul 10, 2025 |
| Javier Trujillo | Charles Schwab & Co., Inc. national BD | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 1, 2025 | Jun 16, 2025 |
| Scott Benjamin Cohen | Charles Schwab & Co., Inc. national BD | Newedge Advisors BD affiliated | Affiliated broker-dealer or bank to another | Jun 30, 2025 | Jul 7, 2025 |
| Sean Goodman | Charles Schwab & Co., Inc. national BD | LPL Enterprise, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 30, 2025 | Aug 18, 2025 (49 d) |
| Christian Alexander Rubio | Charles Schwab & Co., Inc. national BD | Nobles & Richards Advisors, LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Jun 27, 2025 | Aug 10, 2026 (409 d) |
| Eric Jack Zehnder | Charles Schwab & Co., Inc. national BD | Strategic Advisers LLC national BD | Affiliated broker-dealer or bank to another | Jun 26, 2025 | Aug 18, 2025 (53 d) |
| Anthony Weaver | Charles Schwab & Co., Inc. national BD | Thor Wealth Management Inc independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 26, 2025 | Aug 15, 2025 (50 d) |
| Jason Barq Johnson | Charles Schwab & Co., Inc. national BD | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Jun 26, 2025 | Aug 11, 2025 (46 d) |
| Ryan Clay Schwartz | Charles Schwab & Co., Inc. national BD | Strategic Advisers LLC national BD | Affiliated broker-dealer or bank to another | Jun 20, 2025 | Aug 11, 2025 (52 d) |
| Besjana Husted | Charles Schwab & Co., Inc. national BD | Edelman Financial Engines independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 19, 2025 | Jun 5, 2025 |
| Talal Abdo | Charles Schwab & Co., Inc. national BD | Strategic Advisers LLC national BD | Affiliated broker-dealer or bank to another | Jun 14, 2025 | Jul 1, 2025 |
| Douglas Alan Jampol | Charles Schwab & Co., Inc. national BD | Triple Pine Wealth Management LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Jun 14, 2025 | Jun 15, 2026 (366 d) |
| Rong Xue | Charles Schwab & Co., Inc. national BD | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Jun 14, 2025 | Aug 29, 2025 (76 d) |
| Trevor James Ratliff | Charles Schwab & Co., Inc. national BD | Northwestern Mutual Investment Services,LLC no RAUM | Other | Jun 13, 2025 | Dec 19, 2025 (189 d) |
| Camryn Hope Mateo Carney | Charles Schwab & Co., Inc. national BD | Raymond James & Associates, Inc. national BD | Affiliated broker-dealer or bank to another | Jun 13, 2025 | Jun 23, 2025 |
| Emily Neill Blasko | Charles Schwab & Co., Inc. national BD | Bernardi Asset Management, LLC mixed wealth | Affiliated broker-dealer or bank to independent RIA | Jun 11, 2025 | Jul 18, 2025 (37 d) |
| Michael Ryan Dicroce | Charles Schwab & Co., Inc. national BD | D.A. Davidson & Co. independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 11, 2025 | May 28, 2025 |
| Kevin Findlay | Charles Schwab & Co., Inc. national BD | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Jun 10, 2025 | Jun 20, 2025 |
| Tracy Leader | Charles Schwab & Co., Inc. national BD | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Jun 7, 2025 | Mar 31, 2026 (297 d) |
| Raul David Palma | Charles Schwab & Co., Inc. national BD | Mercer Global Advisors Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 7, 2025 | Jun 17, 2025 |
| Zelos A. Willis | Charles Schwab & Co., Inc. national BD | Vanguard Advisers, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jun 7, 2025 | Jan 16, 2026 (223 d) |
| Luis Robles | Charles Schwab & Co., Inc. national BD | The Mather Group, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 7, 2025 | Oct 16, 2025 (131 d) |
| Nathan Thomas Johnson | Charles Schwab & Co., Inc. national BD | Moffatt Financial Strategies independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 5, 2025 | Sep 4, 2025 (91 d) |
| Carissa Darlene Main | Charles Schwab & Co., Inc. national BD | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Jun 3, 2025 | Oct 14, 2025 (133 d) |
| David Scott Walker | Charles Schwab & Co., Inc. national BD | Td Ameritrade, Inc. no RAUM | Other | May 31, 2025 | May 10, 2022 |
| Joseph M. Leone | Charles Schwab & Co., Inc. national BD | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | May 30, 2025 | May 19, 2025 |
| Mckenzie Moore | Charles Schwab & Co., Inc. national BD | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | May 30, 2025 | Jul 31, 2025 (62 d) |
| Matthew Wayne Garrett | Charles Schwab & Co., Inc. national BD | Northwestern Mutual Investment Services,LLC no RAUM | Other | May 24, 2025 | Jun 16, 2025 |
| Daniel Brown | Charles Schwab & Co., Inc. national BD | First Command Advisory Services BD affiliated | Affiliated broker-dealer or bank to another | May 24, 2025 | Jul 21, 2026 (423 d) |
| Paul Wibbenmeyer | Charles Schwab & Co., Inc. national BD | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | May 24, 2025 | Jun 25, 2025 (32 d) |
| Pavlo Ivanovych Kornivskyy | Charles Schwab & Co., Inc. national BD | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | May 22, 2025 | Oct 1, 2025 (132 d) |
| Matthew Patrick Miehe | Charles Schwab & Co., Inc. national BD | Advice And Planning Services BD affiliated | Affiliated broker-dealer or bank to another | May 21, 2025 | Feb 11, 2026 (266 d) |
| Ryan Scott Vernon | Charles Schwab & Co., Inc. national BD | Citizens Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 17, 2025 | May 2, 2025 |
| Jose M Garza | Charles Schwab & Co., Inc. national BD | Strategy Financial Group independent RIA | Affiliated broker-dealer or bank to independent RIA | May 16, 2025 | May 27, 2025 |
| Garth Ahern-Hendryx | Charles Schwab & Co., Inc. national BD | Strategic Advisers LLC national BD | Affiliated broker-dealer or bank to another | May 16, 2025 | Jun 5, 2026 (385 d) |
| Mason Friedrick Maves Coon | Charles Schwab & Co., Inc. national BD | Zoe Financial, Inc. no RAUM | Other | May 13, 2025 | Nov 6, 2025 (177 d) |
| Calvin Michael Reid | Charles Schwab & Co., Inc. national BD | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | May 12, 2025 | May 20, 2025 |
| Tyler Jonathan Burtscher | Charles Schwab & Co., Inc. national BD | Mariner BD affiliated | Affiliated broker-dealer or bank to another | May 10, 2025 | May 28, 2026 (383 d) |
| Stuart Scott Lempert | Charles Schwab & Co., Inc. national BD | Td Ameritrade, Inc. no RAUM | Other | May 8, 2025 | Feb 9, 2022 |
4,388 moves match.