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 teams

Teams that left Charles Schwab & Co., Inc.

A team is two or more advisors whose registrations through one firm ended within fourteen days of each other, from branches in the same state, and who all registered next through the same other firm. The rule reads registration dates on IAPD and nothing else: no press, no name matching, no judgment about why. When the cluster carried half or more of the firm it left, or the destination filed a succession naming it, it is typed firm absorbed rather than lift-out. When the two CRDs are one enterprise (the same business name, as with the two Wells Fargo Advisors channels, the same 75%+ owner on both Schedule As around the move, or one name the other with a word added) it is a channel change, listed only when asked for and never counted as a team in or out. Corporate re-registrations (hundreds of people moved to a new CRD in one month) are excluded before teams are formed.

Advisors	From	To	Branch	Type	Left
2	Charles Schwab & Co., Inc. national BD	Fidelity Personal And Workplace Advisors BD affiliated	Scottsdale, Az +1	Affiliated broker-dealer or bank to another	Oct 17, 2022 over 8 d
2	Charles Schwab & Co., Inc. national BD	Fidelity Personal And Workplace Advisors BD affiliated	Temple Terrace, Fl	Affiliated broker-dealer or bank to another	Sep 29, 2022 over 12 d
2	Charles Schwab & Co., Inc. national BD	Fidelity Personal And Workplace Advisors BD affiliated	San Francisco, Ca +1	Affiliated broker-dealer or bank to another	Aug 4, 2022 over 5 d
2	Charles Schwab & Co., Inc. national BD	Fidelity Personal And Workplace Advisors BD affiliated	Lone Tree, Co	Affiliated broker-dealer or bank to another	Aug 1, 2022 over 11 d
2	Charles Schwab & Co., Inc. national BD	J.P. Morgan Securities LLC wirehouse	Houston, Tx +1	Affiliated broker-dealer or bank to wirehouse	Aug 1, 2022 over 8 d
3	Charles Schwab & Co., Inc. national BD	Vanguard Advisers, Inc. BD affiliated	Westlake, Tx +1	Affiliated broker-dealer or bank to another	Jul 28, 2022 over 14 d
2	Charles Schwab & Co., Inc. national BD	Fidelity Personal And Workplace Advisors BD affiliated	Westlake, Tx	Affiliated broker-dealer or bank to another	Jul 22, 2022 over 5 d
2	Charles Schwab & Co., Inc. national BD	Fidelity Personal And Workplace Advisors BD affiliated	Austin, Tx +1	Affiliated broker-dealer or bank to another	Jun 27, 2022
2	Charles Schwab & Co., Inc. national BD	Morgan Stanley wirehouse	Cupertino, Ca +1	Affiliated broker-dealer or bank to wirehouse	May 6, 2022 over 11 d
4	Charles Schwab & Co., Inc. national BD	Fidelity Personal And Workplace Advisors BD affiliated	Sarasota, Fl +3	Affiliated broker-dealer or bank to another	Apr 20, 2022 over 13 d
2	Charles Schwab & Co., Inc. national BD	Morgan Stanley wirehouse	Westlake, Tx	Affiliated broker-dealer or bank to wirehouse	Feb 28, 2022
2	Charles Schwab & Co., Inc. national BD	J.P. Morgan Securities LLC wirehouse	New York City, Ny	Affiliated broker-dealer or bank to wirehouse	Jan 31, 2022 over 10 d
2	Charles Schwab & Co., Inc. national BD	Fidelity Personal And Workplace Advisors BD affiliated	Carmel, Ca +1	Affiliated broker-dealer or bank to another	Jan 14, 2022 over 10 d
2	Charles Schwab & Co., Inc. national BD	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Lone Tree, Co +1	Affiliated broker-dealer or bank to wirehouse	Nov 11, 2021 over 12 d
2	Charles Schwab & Co., Inc. national BD	Fidelity Personal And Workplace Advisors BD affiliated	Houston, Tx +1	Affiliated broker-dealer or bank to another	Oct 18, 2021 over 3 d
2	Charles Schwab & Co., Inc. national BD	Fidelity Personal And Workplace Advisors BD affiliated	Richfield, Oh +1	Affiliated broker-dealer or bank to another	Sep 30, 2021 over 5 d
2	Charles Schwab & Co., Inc. national BD	Fidelity Personal And Workplace Advisors BD affiliated	Sarasota, Fl +1	Affiliated broker-dealer or bank to another	Jul 27, 2021 over 10 d
2	Charles Schwab & Co., Inc. national BD	Fidelity Personal And Workplace Advisors BD affiliated	Greensboro, Nc +1	Affiliated broker-dealer or bank to another	Jul 12, 2021
2	Charles Schwab & Co., Inc. national BD	U.S. Bancorp Advisors, LLC BD affiliated	Phoenix, Az	Affiliated broker-dealer or bank to another	Jun 21, 2021 over 8 d
2	Charles Schwab & Co., Inc. national BD	Fidelity Personal And Workplace Advisors BD affiliated	Lone Tree, Co	Affiliated broker-dealer or bank to another	May 20, 2021 over 8 d
2	Charles Schwab & Co., Inc. national BD	Fidelity Personal And Workplace Advisors BD affiliated	Los Altos, Ca +1	Affiliated broker-dealer or bank to another	May 13, 2021 over 1 d
2	Charles Schwab & Co., Inc. national BD	Morgan Stanley wirehouse	Lone Tree, Co	Affiliated broker-dealer or bank to wirehouse	May 10, 2021 over 2 d
2	Charles Schwab & Co., Inc. national BD	Fidelity Personal And Workplace Advisors BD affiliated	Glen Allen, Va +1	Affiliated broker-dealer or bank to another	Apr 30, 2021 over 11 d
2	Charles Schwab & Co., Inc. national BD	Fidelity Personal And Workplace Advisors BD affiliated	Austin, Tx +1	Affiliated broker-dealer or bank to another	Apr 23, 2021
4	Charles Schwab & Co., Inc. national BD	Fidelity Personal And Workplace Advisors BD affiliated	Carlsbad, Ca +3	Affiliated broker-dealer or bank to another	Mar 26, 2021 over 17 d
2	Charles Schwab & Co., Inc. national BD	Raymond James & Associates, Inc. national BD	Temple Terrace, Fl +1	Affiliated broker-dealer or bank to another	Mar 8, 2021 over 4 d
2	Charles Schwab & Co., Inc. national BD	Fidelity Personal And Workplace Advisors BD affiliated	Lone Tree, Co	Affiliated broker-dealer or bank to another	Jan 29, 2021 over 5 d
2	Charles Schwab & Co., Inc. national BD	Fidelity Personal And Workplace Advisors BD affiliated	Westlake, Tx	Affiliated broker-dealer or bank to another	Dec 23, 2020 over 12 d
3	Charles Schwab & Co., Inc. national BD	Fidelity Personal And Workplace Advisors BD affiliated	Phoenix, Az	Affiliated broker-dealer or bank to another	Nov 26, 2020 over 27 d
2	Charles Schwab & Co., Inc. national BD	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Austin, Tx +1	Affiliated broker-dealer or bank to wirehouse	Nov 26, 2020 over 14 d
3	Charles Schwab & Co., Inc. national BD	Morgan Stanley wirehouse	Phoenix, Az	Affiliated broker-dealer or bank to wirehouse	Nov 9, 2020 over 8 d
2	Charles Schwab & Co., Inc. national BD	Fidelity Personal And Workplace Advisors BD affiliated	Newport Beach, Ca +1	Affiliated broker-dealer or bank to another	Aug 10, 2020 over 11 d
2	Charles Schwab & Co., Inc. national BD	Fidelity Personal And Workplace Advisors BD affiliated	Los Angeles, Ca +1	Affiliated broker-dealer or bank to another	Jul 13, 2020 over 2 d
3	Charles Schwab & Co., Inc. national BD	Fidelity Personal And Workplace Advisors BD affiliated	Westlake, Tx +1	Affiliated broker-dealer or bank to another	Jul 10, 2020 over 14 d
2	Charles Schwab & Co., Inc. national BD	Fidelity Personal And Workplace Advisors BD affiliated	Vero Beach, Fl +1	Affiliated broker-dealer or bank to another	Apr 16, 2020 over 6 d
2	Charles Schwab & Co., Inc. national BD	Facet independent RIA	Lone Tree, Co	Affiliated broker-dealer or bank to independent RIA	Mar 27, 2020
2	Charles Schwab & Co., Inc. national BD	J.P. Morgan Securities LLC wirehouse	Austin, Tx +1	Affiliated broker-dealer or bank to wirehouse	Dec 11, 2019 over 12 d
2	Charles Schwab & Co., Inc. national BD	J.P. Morgan Securities LLC wirehouse	San Francisco, Ca	Affiliated broker-dealer or bank to wirehouse	Aug 5, 2019 over 4 d
2	Charles Schwab & Co., Inc. national BD	Pnc Managed Account Solutions, Inc. BD affiliated	Lone Tree, Co +1	Affiliated broker-dealer or bank to another	May 22, 2019 over 6 d
2	Charles Schwab & Co., Inc. national BD	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Sunnyvale, Ca +1	Affiliated broker-dealer or bank to wirehouse	Jan 10, 2019 over 11 d
2	Charles Schwab & Co., Inc. national BD	Cayden Wealth Management state registered	Boulder, Co	Affiliated broker-dealer or bank to a state-registered adviser	Dec 13, 2018
2	Charles Schwab & Co., Inc. national BD	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Phoenix, Az	Affiliated broker-dealer or bank to wirehouse	Aug 31, 2018 over 6 d
2	Charles Schwab & Co., Inc. national BD	Morgan Stanley wirehouse	Orlando, Fl	Affiliated broker-dealer or bank to wirehouse	Aug 6, 2018 over 8 d
3	Charles Schwab & Co., Inc. national BD	J.P. Morgan Securities LLC wirehouse	Naperville, Il +2	Affiliated broker-dealer or bank to wirehouse	Jul 31, 2018 over 3 d
2	Charles Schwab & Co., Inc. national BD	Fidelity Personal And Workplace Advisors no RAUM	Corte Madera, Ca +1	Affiliated broker-dealer or bank to a newly registered adviser	Jul 26, 2018 over 7 d
2	Charles Schwab & Co., Inc. national BD	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Southlake, Tx +1	Affiliated broker-dealer or bank to wirehouse	Apr 13, 2018 over 7 d
2	Charles Schwab & Co., Inc. national BD	Boston Harbor Wealth Advisors, LLC other	Burlington, Ma	Other	Oct 19, 2017 over 11 d
2	Charles Schwab & Co., Inc. national BD	Wells Fargo Advisors wirehouse	Lone Tree, Co	Affiliated broker-dealer or bank to wirehouse	Jan 19, 2017 over 4 d
2	Charles Schwab & Co., Inc. national BD	Avantax Advisory Services other	Westlake, Tx	Other	Nov 8, 2016
2	Charles Schwab & Co., Inc. national BD	Edelman Financial Services, LLC other	Houston, Tx	Other	Aug 12, 2016 over 3 d
2	Charles Schwab & Co., Inc. national BD	Strategic Advisers LLC national BD	Oakland, Ca +1	Affiliated broker-dealer or bank to another	Mar 10, 2016 over 1 d
2	Charles Schwab & Co., Inc. national BD	Strategic Advisers LLC national BD	Cupertino, Ca +1	Affiliated broker-dealer or bank to another	Dec 23, 2015 over 12 d
2	Charles Schwab & Co., Inc. national BD	J.P. Morgan Securities LLC wirehouse	Schaumburg, Il	Affiliated broker-dealer or bank to wirehouse	Nov 30, 2015 over 1 d
2	Charles Schwab & Co., Inc. national BD	Strategic Advisers LLC national BD	Walnut Creek, Ca +1	Affiliated broker-dealer or bank to another	Oct 27, 2015 over 3 d
2	Charles Schwab & Co., Inc. national BD	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Austin, Tx	Affiliated broker-dealer or bank to wirehouse	Apr 17, 2015
3	Charles Schwab & Co., Inc. national BD	Strategic Advisers LLC national BD	Lone Tree, Co	Affiliated broker-dealer or bank to another	Mar 10, 2015 over 17 d

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116 teams match.derived from registration dates