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 |
|---|---|---|---|---|---|
| Tayvin Donaldson | Charles Schwab & Co., Inc. national BD | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Jan 15, 2025 | Jan 27, 2025 |
| Dennis Delaney Parlante | Charles Schwab & Co., Inc. national BD | Td Ameritrade, Inc. no RAUM | Other | Jan 14, 2025 | Aug 8, 2021 |
| Hunter Safaya Trusty | Charles Schwab & Co., Inc. national BD | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Jan 14, 2025 | Jan 7, 2025 |
| Rebecca Kay Mcardle | Charles Schwab & Co., Inc. national BD | Bankers Life Advisory Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jan 10, 2025 | Apr 10, 2026 (455 d) |
| Tyler Dyson | Charles Schwab & Co., Inc. national BD | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Jan 9, 2025 | Jan 16, 2025 |
| Karen Cardenas | Charles Schwab & Co., Inc. national BD | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Jan 5, 2025 | Jan 15, 2025 |
| Tommy Ngo | Charles Schwab & Co., Inc. national BD | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Jan 4, 2025 | Feb 13, 2025 (40 d) |
| Melissa A Geracimos | Charles Schwab & Co., Inc. national BD | Aurelius Family Office, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 3, 2025 | Feb 27, 2025 (55 d) |
| Matthew Robert Michel | Charles Schwab & Co., Inc. national BD | Vital Wealth Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 2, 2025 | Mar 10, 2025 (67 d) |
| Corina Sanda Bande-Arias | Charles Schwab & Co., Inc. national BD | Cwm, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 2, 2025 | Jul 6, 2026 (550 d) |
| Gregory T Walsh | Charles Schwab & Co., Inc. national BD | Citizens Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jan 2, 2025 | Jan 8, 2025 |
| Stewart Taylor Werner | Charles Schwab & Co., Inc. national BD | Kestra Private Wealth Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 2, 2025 | Jan 15, 2025 |
| Taylor Heifetz | Charles Schwab & Co., Inc. national BD | Principal Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jan 2, 2025 | Feb 11, 2025 (40 d) |
| Evan King | Charles Schwab & Co., Inc. national BD | Moneta Group Investment Advisors, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 2, 2025 | Jan 7, 2025 |
| Rileigh Daniels | Charles Schwab & Co., Inc. national BD | Apella Wealth independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 2, 2025 | Jul 28, 2026 (572 d) |
| Anthony Justin Caputo | Charles Schwab & Co., Inc. national BD | Edward Jones national BD | Affiliated broker-dealer or bank to another | Jan 2, 2025 | May 6, 2025 (124 d) |
| Steven Richard Porter | Charles Schwab & Co., Inc. national BD | Raymond James & Associates, Inc. national BD | Affiliated broker-dealer or bank to another | Dec 22, 2024 | Jan 7, 2025 |
| William Izykowski | Charles Schwab & Co., Inc. national BD | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Dec 21, 2024 | Jan 7, 2025 |
| Diego Humberto Ovalle Pina | Charles Schwab & Co., Inc. national BD | RBC Capital Markets, LLC national BD | Affiliated broker-dealer or bank to another | Dec 19, 2024 | Aug 20, 2025 (244 d) |
| Kenzie L Conway | Charles Schwab & Co., Inc. national BD | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 18, 2024 | Aug 19, 2026 (609 d) |
| Robert W. Hill | Charles Schwab & Co., Inc. national BD | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Dec 18, 2024 | Dec 10, 2025 (357 d) |
| Andrew Minard | Charles Schwab & Co., Inc. national BD | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Dec 18, 2024 | Jan 8, 2025 |
| Neville Kapoor | Charles Schwab & Co., Inc. national BD | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Dec 15, 2024 | Jan 23, 2025 (39 d) |
| Donna Juanita Stoll | Charles Schwab & Co., Inc. national BD | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 14, 2024 | May 12, 2026 (514 d) |
| Miranda O'Keefe | Charles Schwab & Co., Inc. national BD | Tsfg, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 14, 2024 | Mar 20, 2026 (461 d) |
| Joseph S Baumhover | Charles Schwab & Co., Inc. national BD | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Dec 14, 2024 | Jan 15, 2025 (32 d) |
| Jenna Nicole Cuenca | Charles Schwab & Co., Inc. national BD | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Dec 14, 2024 | Dec 6, 2024 |
| Tuan C Le | Charles Schwab & Co., Inc. national BD | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Dec 14, 2024 | Jun 27, 2025 (195 d) |
| Maggie Cooney | Charles Schwab & Co., Inc. national BD | Strategic Advisers LLC national BD | Affiliated broker-dealer or bank to another | Dec 12, 2024 | Apr 14, 2025 (123 d) |
| Brian Joseph Fuchs | Charles Schwab & Co., Inc. national BD | Edward Jones national BD | Affiliated broker-dealer or bank to another | Dec 9, 2024 | Jan 2, 2026 (389 d) |
| Brian John Frew | Charles Schwab & Co., Inc. national BD | Bxm Wealth LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 3, 2024 | Jan 2, 2025 |
| Randall Rosendo Marquez | Charles Schwab & Co., Inc. national BD | Citizens Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Dec 3, 2024 | Nov 20, 2024 |
| Derek Paul Suboticki | Charles Schwab & Co., Inc. national BD | Edelman Financial Engines independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 3, 2024 | Jun 20, 2025 (199 d) |
| Natasha Harkins-Dube | Charles Schwab & Co., Inc. national BD | Td Private Client Wealth LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 3, 2024 | Dec 24, 2024 |
| Evan Taylor | Charles Schwab & Co., Inc. national BD | Raymond James Financial Services Advisors, Inc BD affiliated | Affiliated broker-dealer or bank to another | Dec 1, 2024 | Dec 19, 2024 |
| Tawny Flynn | Charles Schwab & Co., Inc. national BD | LPL Enterprise, LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Dec 1, 2024 | Dec 6, 2024 |
| Benjamin Bantug Almeda | Charles Schwab & Co., Inc. national BD | Hightower Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 30, 2024 | Dec 4, 2024 |
| Baha Chanel | Charles Schwab & Co., Inc. national BD | Pnc Wealth Management BD affiliated | Affiliated broker-dealer or bank to another | Nov 30, 2024 | Nov 27, 2024 |
| Timothy Allen Bohnett | Charles Schwab & Co., Inc. national BD | Td Ameritrade, Inc. no RAUM | Other | Nov 29, 2024 | Jul 28, 2021 |
| Alexander Luke Pao | Charles Schwab & Co., Inc. national BD | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Nov 26, 2024 | Nov 14, 2024 |
| Tyler Chung | Charles Schwab & Co., Inc. national BD | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Nov 26, 2024 | Dec 3, 2024 |
| Isandra Salinas | Charles Schwab & Co., Inc. national BD | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Nov 23, 2024 | Nov 27, 2024 |
| Ryan Ramadan | Charles Schwab & Co., Inc. national BD | Edward Jones national BD | Affiliated broker-dealer or bank to another | Nov 23, 2024 | Oct 11, 2024 |
| Christopher Michael Loyer | Charles Schwab & Co., Inc. national BD | UBS Financial Services Inc. wirehouse | Affiliated broker-dealer or bank to wirehouse | Nov 23, 2024 | Jan 29, 2025 (67 d) |
| Christopher Autry | Charles Schwab & Co., Inc. national BD | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Nov 22, 2024 | Dec 26, 2024 (34 d) |
| Scott Aron Miller | Charles Schwab & Co., Inc. national BD | Edward Jones national BD | Affiliated broker-dealer or bank to another | Nov 20, 2024 | Jan 8, 2025 (49 d) |
| Bryan Todd Smith | Charles Schwab & Co., Inc. national BD | Empower Advisory Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 19, 2024 | Sep 18, 2025 (303 d) |
| Chris Michael Tremble | Charles Schwab & Co., Inc. national BD | Mutual Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 19, 2024 | Nov 14, 2024 |
| James Bryant Hicks | Charles Schwab & Co., Inc. national BD | Empower Advisory Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 19, 2024 | Dec 3, 2024 |
| Keely Kathleen Patridge | Charles Schwab & Co., Inc. national BD | RBC Securities, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 18, 2024 | Jul 22, 2025 (246 d) |
| Jullie Ann Nicole Strippoli | Charles Schwab & Co., Inc. national BD | Sowell Management independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 18, 2024 | Nov 14, 2024 |
| Katelyn Leann Turcheck | Charles Schwab & Co., Inc. national BD | Valeo Financial Advisors, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 18, 2024 | Nov 19, 2024 |
| Timothy Dean Semlick | Charles Schwab & Co., Inc. national BD | Principal Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 15, 2024 | Jun 24, 2025 (221 d) |
| Nick Patrick Denucci | Charles Schwab & Co., Inc. national BD | Creative Planning independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 15, 2024 | Nov 17, 2025 (367 d) |
| Elizabeth Graham Trecartin | Charles Schwab & Co., Inc. national BD | Penn Davis Mcfarland Inc independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 15, 2024 | Jan 8, 2025 (54 d) |
| Vikhar Samad | Charles Schwab & Co., Inc. national BD | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Nov 8, 2024 | Dec 13, 2024 (35 d) |
| William David Campana | Charles Schwab & Co., Inc. national BD | UBS Financial Services Inc. wirehouse | Affiliated broker-dealer or bank to wirehouse | Nov 8, 2024 | Nov 25, 2024 |
| Kris B Morris | Charles Schwab & Co., Inc. national BD | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Nov 7, 2024 | Nov 18, 2024 |
| Julio Roberto Dolorico | Charles Schwab & Co., Inc. national BD | Advice And Planning Services BD affiliated | Affiliated broker-dealer or bank to another | Nov 6, 2024 | May 8, 2026 (548 d) |
| Jessica Eden Sicking | Charles Schwab & Co., Inc. national BD | Coppell Advisory Solutions LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 6, 2024 | Jul 18, 2025 (254 d) |
4,388 moves match.