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 |
|---|---|---|---|---|---|
| Zhengnan Xu | Cetera Investment Advisers LLC BD affiliated | RBC Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 21, 2026 | Aug 28, 2026 |
| Jared Markham | J.P. Morgan Securities LLC wirehouse | RBC Securities, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Aug 12, 2026 | Aug 28, 2026 |
| Matthew Dustin Jacobson | Equitable Advisors, LLC national BD | RBC Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 14, 2026 | Aug 12, 2026 |
| Roy Chia Jen Lin | U.S. Bancorp Advisors, LLC BD affiliated | RBC Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 6, 2026 | Jul 9, 2026 |
| Blake Austin Soto | Navy Federal Investment Services, LLC BD affiliated | RBC Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jun 26, 2026 | Jun 29, 2026 |
| Ramon Ramos | LPL Financial LLC BD affiliated | RBC Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jun 1, 2026 | Jun 10, 2026 |
| David Michael Patton | Wells Fargo Advisors wirehouse | RBC Securities, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | May 25, 2026 | Jul 1, 2026 (37 d) |
| Cheryl Maria Keilman | Wells Fargo Advisors wirehouse | RBC Securities, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | May 5, 2026 | May 18, 2026 |
| Konstantin Solomon Prives | Flagstar Securities, Inc. independent RIA | RBC Securities, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Mar 4, 2026 | Mar 4, 2026 |
| Amr Elgamal | Ameriprise Financial Services, LLC national BD | RBC Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Feb 24, 2026 | Mar 2, 2026 |
| Gary Friedle | J.P. Morgan Securities LLC wirehouse | RBC Securities, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Feb 18, 2026 | Feb 26, 2026 |
| Dustin W Hansen | U.S. Bancorp Investments, Inc. BD affiliated | RBC Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Feb 9, 2026 | Mar 6, 2026 |
| Lavinia Alice Boettcher | Strategic Advisers LLC national BD | RBC Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jan 21, 2026 | Jul 20, 2026 (180 d) |
| Kurtis L Munoz | Raymond James & Associates, Inc. national BD | RBC Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Dec 31, 2025 | Mar 17, 2026 (76 d) |
| Iuliia Malysheva | Equitable Advisors, LLC national BD | RBC Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Oct 1, 2025 | Aug 26, 2026 (329 d) |
| Bryan S Sims | Morgan Stanley wirehouse | RBC Securities, Inc. independent RIA | Wirehouse to independent RIA | Sep 8, 2025 | Sep 12, 2025 |
| Talin Shadmany | Wells Fargo Advisors wirehouse | RBC Securities, Inc. independent RIA | Wirehouse to independent RIA | Sep 3, 2025 | Sep 15, 2025 |
| Kevin Glueckert | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | RBC Securities, Inc. independent RIA | Wirehouse to independent RIA | Aug 8, 2025 | Aug 18, 2025 |
| Ivan Parry | Western International Securities BD affiliated | RBC Securities, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 1, 2025 | Sep 12, 2025 (42 d) |
| Brian Anthony Victoria-Madrigal | D.A. Davidson & Co. independent RIA | RBC Securities, Inc. independent RIA | RIA to RIA | Jul 29, 2025 | Aug 7, 2025 |
| Kyeong Su Lee | LPL Financial LLC BD affiliated | RBC Securities, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 29, 2025 | Jul 25, 2025 |
| Carmen Casale | Citigroup Global Markets Inc. BD affiliated | RBC Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jun 27, 2025 | Feb 10, 2026 (228 d) |
| Elijah James Cooksey | Wealth Enhancement Advisory Services, LLC BD affiliated | RBC Securities, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 23, 2025 | Jul 2, 2025 |
| Thomas Francis Bennett | Horter Investment Management, LLC independent RIA | RBC Securities, Inc. independent RIA | RIA to RIA | May 27, 2025 | Jun 6, 2025 |
| Germon Earl Mosley | U.S. Bancorp Advisors, LLC BD affiliated | RBC Securities, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 28, 2025 | May 9, 2025 |
| William Gregory Davidson | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | RBC Securities, Inc. independent RIA | Wirehouse to independent RIA | Apr 22, 2025 | Jun 13, 2025 (52 d) |
| Gregory Thomas Brunck | Toews Asset Management asset manager | RBC Securities, Inc. independent RIA | Other | Feb 28, 2025 | Apr 2, 2025 (33 d) |
| Noah Stomberg | Octavia Wealth Advisors LLC independent RIA | RBC Securities, Inc. independent RIA | RIA to RIA | Feb 14, 2025 | Jul 1, 2025 (137 d) |
| Peter Giacona | U.S. Bancorp Investments, Inc. BD affiliated | RBC Securities, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 8, 2025 | Jan 24, 2025 |
| Isela D Ortega-Wu | Western International Securities BD affiliated | RBC Securities, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 6, 2025 | Feb 20, 2025 (45 d) |
| Andrew Peale Allen | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | RBC Securities, Inc. independent RIA | Wirehouse to independent RIA | Dec 10, 2024 | Dec 19, 2024 |
| Nate Elisha | J.P. Morgan Securities LLC wirehouse | RBC Securities, Inc. independent RIA | Wirehouse to independent RIA | Nov 23, 2024 | Jan 17, 2025 (55 d) |
| 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) |
| Marisha Yeajin Fusco | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | RBC Securities, Inc. independent RIA | Wirehouse to independent RIA | Oct 1, 2024 | Dec 12, 2024 (72 d) |
| Abraham Lopez | Cuso Financial Services, L.P. BD affiliated | RBC Securities, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 23, 2024 | Sep 18, 2024 |
| Ivor Patrick O'Keeffe | Flagstar Securities, Inc. independent RIA | RBC Securities, Inc. independent RIA | RIA to RIA | Jul 19, 2024 | Sep 16, 2024 (59 d) |
| Gregg Thomas Koutouvidis | RBC Capital Markets, LLC national BD | RBC Securities, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 17, 2024 | Apr 24, 2025 (311 d) |
| Anthony Viducic | U.S. Bancorp Investments, Inc. BD affiliated | RBC Securities, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 28, 2024 | Apr 19, 2024 |
| John Robert Heller | Cetera Investment Advisers LLC BD affiliated | RBC Securities, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 14, 2023 | Apr 25, 2023 |
| James George Walls | Ascensus Investment Advisors, LLC institutional | RBC Securities, Inc. independent RIA | Other | Apr 6, 2023 | Mar 28, 2025 (722 d) |
| Damon Wallace Francis | U.S. Bancorp Advisors, LLC BD affiliated | RBC Securities, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 15, 2023 | Apr 14, 2023 |
| Amy B Gilbert | Hightower Advisors, LLC BD affiliated | RBC Securities, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 4, 2023 | Dec 17, 2024 (654 d) |
| Christianne Marie Witrago | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | RBC Securities, Inc. independent RIA | Wirehouse to independent RIA | Feb 8, 2023 | Feb 22, 2023 |
| Guillermo Guzman | Fidelity Personal And Workplace Advisors BD affiliated | RBC Securities, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 20, 2022 | Oct 12, 2022 |
| Rudy Zendejas | J.P. Morgan Securities LLC wirehouse | RBC Securities, Inc. independent RIA | Wirehouse to independent RIA | Aug 16, 2022 | Mar 7, 2023 (203 d) |
| Darlyn Alexa Orellana | Wells Fargo Advisors wirehouse | RBC Securities, Inc. independent RIA | Wirehouse to independent RIA | Jun 22, 2022 | Sep 22, 2022 (92 d) |
| Brian Ing Pu Hsieh | RBC Rochdale, LLC BD affiliated | RBC Securities, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 28, 2022 | Apr 28, 2022 |
| Ramy David Antar | RBC Rochdale, LLC BD affiliated | RBC Securities, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 28, 2022 | Apr 28, 2022 |
| David Paul Bjorndal | RBC Rochdale, LLC BD affiliated | RBC Securities, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 28, 2022 | Apr 28, 2022 |
| Carolyn June Finer | RBC Rochdale, LLC BD affiliated | RBC Securities, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 19, 2022 | Aug 20, 2021 |
| Jordan D Luedke | Robert W. Baird & Co. Incorporated mixed wealth | RBC Securities, Inc. independent RIA | RIA to RIA | Apr 6, 2022 | Apr 19, 2022 |
| Farris David Mandilawi | Hsbc Securities (USA) Inc. BD affiliated | RBC Securities, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 25, 2022 | Apr 14, 2022 |
| Adam Richard Johnson | Wells Fargo Advisors wirehouse | RBC Securities, Inc. independent RIA | Wirehouse to independent RIA | Feb 10, 2022 | Feb 17, 2022 |
| Albert Yanez | Cuso Financial Services, L.P. BD affiliated | RBC Securities, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 2, 2022 | Mar 4, 2022 |
| Sameer Ferrell | Comerica Securities bank affiliated | RBC Securities, Inc. independent RIA | Other | Nov 4, 2021 | Dec 10, 2021 (36 d) |
| Rafael Antonio Pando | Wells Fargo Advisors wirehouse | RBC Securities, Inc. independent RIA | Wirehouse to independent RIA | Oct 28, 2021 | Nov 5, 2021 |
| Anthony Edward Rodriguez | Wells Fargo Advisors wirehouse | RBC Securities, Inc. independent RIA | Wirehouse to independent RIA | Oct 13, 2021 | Oct 21, 2021 |
| Cesar Emiliano Gomez | Wells Fargo Advisors wirehouse | RBC Securities, Inc. independent RIA | Wirehouse to independent RIA | Aug 10, 2021 | Aug 26, 2021 |
| Rosemary Carolina Abreu | Cetera Investment Advisers LLC BD affiliated | RBC Securities, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 30, 2021 | Sep 23, 2021 (55 d) |
| Michael Anthony Lange | Wells Fargo Advisors wirehouse | RBC Securities, Inc. independent RIA | Wirehouse to independent RIA | Jul 30, 2021 | Aug 2, 2021 |
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175 moves match.