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
Arrivals at RBC Securities, 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 |
|---|---|---|---|---|---|
| Abraham Lopez | Wedbush Securities Inc. BD affiliated | RBC Securities, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 30, 2021 | Apr 16, 2021 |
| Zara Guivi | U.S. Bancorp Advisors, LLC BD affiliated | RBC Securities, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 13, 2021 | Jan 15, 2021 |
| Kefira Bar-Golani | Citigroup Global Markets Inc. BD affiliated | RBC Securities, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 21, 2020 | Jan 25, 2021 (35 d) |
| Destin E Thomas | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | RBC Securities, Inc. independent RIA | Wirehouse to independent RIA | Dec 7, 2020 | Dec 14, 2020 |
| Marques J Dickson | Wells Fargo Advisors wirehouse | RBC Securities, Inc. independent RIA | Wirehouse to independent RIA | Aug 19, 2020 | Sep 8, 2020 |
| Michael David Pearce | E*Trade Capital Management, LLC independent RIA | RBC Securities, Inc. independent RIA | RIA to RIA | Jul 17, 2020 | Jul 13, 2020 |
| Keith Walter Macey | Citigroup Global Markets Inc. BD affiliated | RBC Securities, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 19, 2020 | Apr 2, 2020 |
| Bryant Gilbert Saydah | J.P. Morgan Securities LLC wirehouse | RBC Securities, Inc. independent RIA | Wirehouse to independent RIA | Mar 11, 2020 | Mar 5, 2020 |
| Shane Lee Rogers | LPL Financial LLC BD affiliated | RBC Securities, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 27, 2020 | Mar 5, 2020 |
| Rafael Lamar Scroggins | Wells Fargo Advisors wirehouse | RBC Securities, Inc. independent RIA | Wirehouse to independent RIA | Nov 20, 2019 | Feb 12, 2020 (84 d) |
| Peter W Litton | Comerica Securities bank affiliated | RBC Securities, Inc. independent RIA | Other | Oct 17, 2019 | Nov 7, 2019 |
| Christopher Joseph Calagna | U.S. Bancorp Advisors, LLC BD affiliated | RBC Securities, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 20, 2019 | Aug 21, 2019 |
| Nicholas A Kong | RBC Rochdale, LLC other | RBC Securities, Inc. independent RIA | Other | Jul 16, 2019 | Jul 16, 2019 |
| Susan Green Rogers | Wells Fargo Advisors wirehouse | RBC Securities, Inc. independent RIA | Wirehouse to independent RIA | Jul 3, 2019 | Feb 3, 2020 (215 d) |
| Christopher Jon Hays | Comerica Securities bank affiliated | RBC Securities, Inc. independent RIA | Other | Jun 6, 2019 | Jun 6, 2019 |
| Joseph Byun | Northwestern Mutual Investment Services,LLC no RAUM | RBC Securities, Inc. independent RIA | Other | Mar 20, 2019 | Mar 20, 2019 |
| Joshua Steven Gelber | Pnc Wealth Management BD affiliated | RBC Securities, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 21, 2019 | Feb 21, 2019 |
| Haroon Sattari | Citigroup Global Markets Inc. BD affiliated | RBC Securities, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 21, 2019 | Feb 27, 2019 |
| Samuel Ramos | U.S. Bancorp Advisors, LLC BD affiliated | RBC Securities, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 7, 2019 | Jan 9, 2019 |
| Nora Kouza | U.S. Bancorp Advisors, LLC BD affiliated | RBC Securities, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 3, 2019 | Jan 16, 2019 |
| Ryan Charles Olson | Wells Fargo Advisors wirehouse | RBC Securities, Inc. independent RIA | Wirehouse to independent RIA | Nov 27, 2018 | Dec 7, 2018 |
| Michael R Burt | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | RBC Securities, Inc. independent RIA | Wirehouse to independent RIA | Oct 29, 2018 | Oct 30, 2018 |
| Gregory A. Crane | Wells Fargo Advisors wirehouse | RBC Securities, Inc. independent RIA | Wirehouse to independent RIA | Oct 4, 2018 | Jan 24, 2019 (112 d) |
| Thomas George Dolby | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | RBC Securities, Inc. independent RIA | Wirehouse to independent RIA | Oct 3, 2018 | Feb 21, 2019 (141 d) |
| Scott Vincent Cheo | Bancwest Investment Services, Inc. (Bwis) BD affiliated | RBC Securities, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 22, 2018 | Aug 24, 2018 |
| Catrina Nicole Knox | Wells Fargo Advisors wirehouse | RBC Securities, Inc. independent RIA | Wirehouse to independent RIA | Aug 21, 2018 | Aug 21, 2018 |
| Alma E Lazaro | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | RBC Securities, Inc. independent RIA | Wirehouse to independent RIA | Jul 25, 2018 | Apr 10, 2019 (259 d) |
| Raymond Anthony Martinez | Citigroup Global Markets Inc. BD affiliated | RBC Securities, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 12, 2018 | Jun 11, 2018 |
| Cao Tri Tran | LPL Financial LLC independent RIA | RBC Securities, Inc. independent RIA | RIA to RIA | Jun 6, 2018 | May 17, 2018 |
| Justin Koroyan | Hsbc Securities (USA) Inc. BD affiliated | RBC Securities, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 6, 2018 | May 16, 2018 |
| Erik Kristian Larsen | Citigroup Global Markets Inc. BD affiliated | RBC Securities, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 5, 2018 | May 31, 2018 |
| Richard George Engbrecht | U.S. Bancorp Advisors, LLC BD affiliated | RBC Securities, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | May 22, 2018 | May 31, 2018 |
| Armando David Feighl | U.S. Bancorp Advisors, LLC BD affiliated | RBC Securities, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 12, 2018 | Mar 20, 2018 |
| Aaron James Malardino | U.S. Bancorp Advisors, LLC BD affiliated | RBC Securities, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 12, 2018 | Mar 13, 2018 |
| Matthew Guillory | U.S. Bancorp Advisors, LLC BD affiliated | RBC Securities, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 12, 2018 | Mar 13, 2018 |
| Ricardo Kong | Hsbc Securities (USA) Inc. other | RBC Securities, Inc. independent RIA | Other | Feb 23, 2018 | Mar 2, 2018 |
| Christopher David Hartman | Truist Advisory Services, Inc. other | RBC Securities, Inc. independent RIA | Other | Jan 5, 2018 | Mar 4, 2025 (2615 d) |
| Jeffrey Hennings | National Planning Corporation ("Npc Of America" In Fl & Ny) other | RBC Securities, Inc. independent RIA | Other | Jan 2, 2018 | Mar 1, 2018 (58 d) |
| David Jay Ohanian | U.S. Bancorp Advisors, LLC other | RBC Securities, Inc. other | Other | Nov 28, 2017 | Dec 5, 2017 |
| Susan Koron | U.S. Bancorp Advisors, LLC other | RBC Securities, Inc. independent RIA | Other | Nov 28, 2017 | Aug 23, 2018 (268 d) |
| Anthony St Stephen Richardson | Strategic Advisers LLC national BD | RBC Securities, Inc. other | Other | Nov 9, 2017 | Dec 19, 2017 (40 d) |
| Jeffrey Royce Wingerter | Citigroup Global Markets Inc. other | RBC Securities, Inc. other | Other | Sep 22, 2017 | Oct 24, 2017 (32 d) |
| Ali M Banki | U.S. Bancorp Investments, Inc. other | RBC Securities, Inc. other | Other | Aug 30, 2017 | Sep 6, 2017 |
| Carlana Gillespie Brown | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | RBC Securities, Inc. independent RIA | Wirehouse to independent RIA | Aug 16, 2017 | May 31, 2018 (288 d) |
| Margarita Perez | Cetera Advisor Networks LLC other | RBC Securities, Inc. other | Other | Jul 26, 2017 | Jul 26, 2017 |
| Shizhan Zhang | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | RBC Securities, Inc. other | Other | Apr 17, 2017 | Jul 18, 2017 (92 d) |
| David Matthew Terrell | U.S. Bancorp Investments, Inc. other | RBC Securities, Inc. other | Other | Mar 22, 2017 | Mar 23, 2017 |
| Ji Hye Cho | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | RBC Securities, Inc. other | Other | Mar 3, 2017 | Mar 14, 2017 |
| Michael Anderson Cheatham | Wells Fargo Advisors wirehouse | RBC Securities, Inc. independent RIA | Wirehouse to independent RIA | Feb 14, 2017 | May 22, 2019 (827 d) |
| Wayne George Rogers | Td Private Client Wealth LLC other | RBC Securities, Inc. independent RIA | Other | Feb 8, 2017 | Sep 12, 2018 (581 d) |
| Cheryl A Rigali | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | RBC Securities, Inc. other | Other | Dec 16, 2016 | Jan 3, 2017 |
| Alfred Cameron Hunt | RBC Rochdale, LLC other | RBC Securities, Inc. other | Other | Nov 16, 2016 | Nov 17, 2016 |
| Matthew Steiger | Convergent Wealth Advisors, LLC other | RBC Securities, Inc. other | Other | Oct 31, 2016 | Nov 7, 2016 |
| Nate Elisha | RBC Rochdale, LLC other | RBC Securities, Inc. independent RIA | Other | Oct 31, 2016 | Feb 5, 2020 (1192 d) |
| Robert Nicholas Lakosil | Northwestern Mutual Investment Services,LLC no RAUM | RBC Securities, Inc. other | Other | Oct 3, 2016 | Sep 29, 2016 |
| Charles Ray Brown | Usaa Financial Planning Services no RAUM | RBC Securities, Inc. other | Other | Jul 22, 2016 | Sep 20, 2016 (60 d) |
| Nicholas Barnett | Advice And Planning Services other | RBC Securities, Inc. other | Other | Jul 5, 2016 | Jul 6, 2016 |
| Lisa Khoo Farley | UBS Financial Services Inc. wirehouse | RBC Securities, Inc. other | Other | Jun 3, 2016 | May 18, 2016 |
| Rafael G Mendez | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | RBC Securities, Inc. other | Other | May 31, 2016 | May 18, 2016 |
| Steven James Stauff | Wells Fargo Advisors wirehouse | RBC Securities, Inc. other | Other | Mar 28, 2016 | Apr 1, 2016 |
175 moves match.