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 |
|---|---|---|---|---|---|
| Jake Simkins | Charles Schwab & Co., Inc. national BD | Osaic Wealth, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 3, 2025 | Apr 8, 2025 |
| Connor Chapais | Charles Schwab & Co., Inc. national BD | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Apr 3, 2025 | Apr 17, 2025 |
| Joseph Cote | Charles Schwab & Co., Inc. national BD | Commonwealth Financial Network national BD | Affiliated broker-dealer or bank to another | Apr 2, 2025 | Mar 19, 2025 |
| Gabriel White | Charles Schwab & Co., Inc. national BD | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Apr 2, 2025 | Apr 21, 2025 |
| Megan Leann Wells | Charles Schwab & Co., Inc. national BD | Harbour Investments, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 27, 2025 | Feb 4, 2026 (314 d) |
| Wen Cheng | Charles Schwab & Co., Inc. national BD | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Mar 26, 2025 | Apr 10, 2025 |
| Guy Andre Beaudoin | Charles Schwab & Co., Inc. national BD | Td Ameritrade, Inc. no RAUM | Other | Mar 25, 2025 | Jul 27, 2021 |
| Phillip Ronald Scavo | Charles Schwab & Co., Inc. national BD | Parallel Advisors, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 25, 2025 | Jul 15, 2025 (112 d) |
| Blake Kruthaupt | Charles Schwab & Co., Inc. national BD | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Mar 24, 2025 | Apr 10, 2025 |
| Broderick Daniel Zach | Charles Schwab & Co., Inc. national BD | Osaic Wealth, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 22, 2025 | Jun 30, 2025 (100 d) |
| Ryan Riley Westphal | Charles Schwab & Co., Inc. national BD | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Mar 20, 2025 | Mar 17, 2025 |
| Ibrahem Alain Safieddine | Charles Schwab & Co., Inc. national BD | Forum Capital Advisors LLC asset manager | Other | Mar 20, 2025 | May 15, 2025 (56 d) |
| Tyler Donald Neary | Charles Schwab & Co., Inc. national BD | Raymond James Financial Services Advisors, Inc BD affiliated | Affiliated broker-dealer or bank to another | Mar 16, 2025 | Mar 17, 2025 |
| Miguel J Alvarez | Charles Schwab & Co., Inc. national BD | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Mar 12, 2025 | Feb 25, 2025 |
| Zachary Parker | Charles Schwab & Co., Inc. national BD | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Mar 11, 2025 | Feb 25, 2025 |
| Ranee D Kent | Charles Schwab & Co., Inc. national BD | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Mar 11, 2025 | Feb 21, 2026 (347 d) |
| Brian Thomas Attard | Charles Schwab & Co., Inc. national BD | Td Private Client Wealth LLC BD affiliated | Affiliated broker-dealer or bank to another | Mar 10, 2025 | Mar 12, 2025 |
| Jean-Paul Ceballo | Charles Schwab & Co., Inc. national BD | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Mar 10, 2025 | Apr 2, 2025 |
| Lindsey Elizabeth Neal | Charles Schwab & Co., Inc. national BD | T. Rowe Price Advisory Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 8, 2025 | Mar 24, 2025 |
| Derek Michael Histen | Charles Schwab & Co., Inc. national BD | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Mar 6, 2025 | May 14, 2025 (69 d) |
| Bryan David Pitney | Charles Schwab & Co., Inc. national BD | Professional Planning Group independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 5, 2025 | Apr 4, 2025 |
| Evagelos Panagiotis Petrakos | Charles Schwab & Co., Inc. national BD | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Mar 4, 2025 | Mar 12, 2025 |
| Nicholas Olin Mcguire | Charles Schwab & Co., Inc. national BD | Wj Interests, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 3, 2025 | Apr 30, 2025 (58 d) |
| Colin Thomas Bowman | Charles Schwab & Co., Inc. national BD | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Mar 3, 2025 | Oct 30, 2025 (241 d) |
| Adam Lucart | Charles Schwab & Co., Inc. national BD | LPL Enterprise, LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 26, 2025 | May 1, 2026 (429 d) |
| Garv Gianchetta | Charles Schwab & Co., Inc. national BD | Td Ameritrade Investment Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 24, 2025 | Feb 14, 2023 |
| Bella Flor Hampton | Charles Schwab & Co., Inc. national BD | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Feb 22, 2025 | Feb 14, 2025 |
| Matthew A Greenwood | Charles Schwab & Co., Inc. national BD | Edward Jones national BD | Affiliated broker-dealer or bank to another | Feb 21, 2025 | Feb 24, 2025 |
| Luke Maura | Charles Schwab & Co., Inc. national BD | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Feb 19, 2025 | Aug 5, 2025 (167 d) |
| Jason P Magnotti | Charles Schwab & Co., Inc. national BD | Fisher Investments independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 19, 2025 | Feb 20, 2025 |
| Justin Andrew Grinstead | Charles Schwab & Co., Inc. national BD | Grinstead Wealth Management state registered | Affiliated broker-dealer or bank to a state-registered adviser | Feb 19, 2025 | Feb 5, 2025 |
| Lindsay Michelle Thorstenson | Charles Schwab & Co., Inc. national BD | Cary Street Partners BD affiliated | Affiliated broker-dealer or bank to another | Feb 19, 2025 | Feb 13, 2025 |
| Kevin J Ryan | Charles Schwab & Co., Inc. national BD | Northern Trust Securities, Inc BD affiliated | Affiliated broker-dealer or bank to another | Feb 15, 2025 | Feb 13, 2025 |
| Jonathan Arnold | Charles Schwab & Co., Inc. national BD | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 15, 2025 | Jul 11, 2025 (146 d) |
| Nicholas Jacob Lin | Charles Schwab & Co., Inc. national BD | Arta Finance independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 15, 2025 | May 8, 2026 (447 d) |
| Jonathan J Lopez | Charles Schwab & Co., Inc. national BD | Public Advisors LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 14, 2025 | Aug 13, 2025 (180 d) |
| Cassandra Joan Mcpherson | Charles Schwab & Co., Inc. national BD | Ameritas Advisory Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 13, 2025 | May 19, 2025 (95 d) |
| Gaganpreet Sohi | Charles Schwab & Co., Inc. national BD | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Feb 11, 2025 | Jan 28, 2025 |
| Jeremy Essary | Charles Schwab & Co., Inc. national BD | Stifel, Nicolaus & Company, Incorporated national BD | Affiliated broker-dealer or bank to another | Feb 8, 2025 | Jul 29, 2025 (171 d) |
| Adrian C Lewis | Charles Schwab & Co., Inc. national BD | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Feb 8, 2025 | Jan 17, 2025 |
| Atanu Bose | Charles Schwab & Co., Inc. national BD | Strategic Advisers LLC national BD | Affiliated broker-dealer or bank to another | Feb 6, 2025 | Dec 2, 2025 (299 d) |
| Shane Tyler | Charles Schwab & Co., Inc. national BD | Pnc Wealth Management BD affiliated | Affiliated broker-dealer or bank to another | Feb 5, 2025 | Mar 3, 2025 |
| Jimmy Tran | Charles Schwab & Co., Inc. national BD | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Feb 4, 2025 | Jan 21, 2025 |
| Timothy James Pratt | Charles Schwab & Co., Inc. national BD | Touchstone Advisors Inc asset manager | Other | Feb 4, 2025 | Jan 17, 2025 |
| Andrew Patrick Starling | Charles Schwab & Co., Inc. national BD | Capital Client Group, Inc. no RAUM | Other | Feb 3, 2025 | Feb 8, 2025 |
| Kathryn Elizabeth Casey | Charles Schwab & Co., Inc. national BD | Frost Investment Services BD affiliated | Affiliated broker-dealer or bank to another | Jan 31, 2025 | Jan 23, 2025 |
| Jairo Servin | Charles Schwab & Co., Inc. national BD | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Jan 31, 2025 | Feb 10, 2025 |
| Cameron Purton | Charles Schwab & Co., Inc. national BD | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Jan 28, 2025 | Jan 23, 2025 |
| Reece Warren Brown | Charles Schwab & Co., Inc. national BD | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Jan 28, 2025 | Feb 20, 2025 |
| Emil Aldaddah | Charles Schwab & Co., Inc. national BD | Momentum Wealth Management state registered | Affiliated broker-dealer or bank to a state-registered adviser | Jan 26, 2025 | Jan 27, 2025 |
| Ivan Rose | Charles Schwab & Co., Inc. national BD | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Jan 24, 2025 | Feb 6, 2025 |
| Jordan Ashley Davan | Charles Schwab & Co., Inc. national BD | Monon Wealth Management independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 21, 2025 | Jan 14, 2025 |
| Joshua Aaron Tanner | Charles Schwab & Co., Inc. national BD | Advice And Planning Services BD affiliated | Affiliated broker-dealer or bank to another | Jan 19, 2025 | Jan 23, 2025 |
| Derrick Jennings | Charles Schwab & Co., Inc. national BD | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Jan 19, 2025 | Mar 5, 2025 (45 d) |
| Abraham Garcia | Charles Schwab & Co., Inc. national BD | Capital Planning Advisors LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 18, 2025 | Jan 17, 2025 |
| Christopher Jay Twining | Charles Schwab & Co., Inc. national BD | Edward Jones national BD | Affiliated broker-dealer or bank to another | Jan 17, 2025 | Feb 14, 2025 |
| Zachary Blumenthal | Charles Schwab & Co., Inc. national BD | Td Ameritrade, Inc. no RAUM | Other | Jan 16, 2025 | Jul 14, 2022 |
| Johnny Chi | Charles Schwab & Co., Inc. national BD | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Jan 15, 2025 | Nov 11, 2025 (300 d) |
| Maggie Denny Burke | Charles Schwab & Co., Inc. national BD | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Jan 15, 2025 | Jan 3, 2025 |
| Jacob Saul Torres | Charles Schwab & Co., Inc. national BD | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 15, 2025 | Jan 7, 2025 |
4,388 moves match.