Financial ADVSR advisor moves · SEC adviser records, updated daily
Advisors who joined and left Charles Schwab & Co., Inc.
Every SEC-registered advisor who joined Charles Schwab & Co., Inc. or left it for another firm since October 22, and where they came from or went.
1 joined and 2 left for another firm since October 22, a net change of -1. The most came from Equitable Advisors, LLC (1); the most who left went to Schwab Wealth Advisory, Inc. (2).
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Where advisors came from and went
Came from
Went to
Joined Charles Schwab & Co., Inc. (1)
| Advisor | Came from | Office | Seen |
|---|---|---|---|
| Alexander M. Klein | Equitable Advisors, LLC | Fort Lauderdale, FL | Oct 24 |
Left Charles Schwab & Co., Inc. for another firm (2)
| Advisor | Went to | Office | Seen |
|---|---|---|---|
| Orfeo Di Mizio | Schwab Wealth Advisory, Inc. | Indianapolis, IN | Oct 24 |
| Trevor J. Aldrich | Schwab Wealth Advisory, Inc. | Indianapolis, IN | Oct 23 |
Questions
How many advisors has Charles Schwab & Co., Inc. added recently?
1 SEC-registered advisors joined Charles Schwab & Co., Inc. and 2 left it for another firm since October 22, a net change of -1, according to the SEC's daily Investment Adviser Public Disclosure file. The most came from Equitable Advisors, LLC (1).
Where are Charles Schwab & Co., Inc. advisors going?
Of the advisors who left Charles Schwab & Co., Inc. for another firm since October 22, the most joined Schwab Wealth Advisory, Inc. (2).
Where does this data come from?
The SEC publishes every registered investment adviser representative and their firms each day. Financial ADVSR compares each day's file with the one before: an advisor who gains a firm counts as joining it, one who loses it as leaving. A departure counts only when the advisor shows up at another firm within 45 days; advisors who simply drop out of the file (retirements, broker-only roles, gaps in a day's file) aren't counted.
Source: the SEC's Investment Adviser Public Disclosure daily file, compared day by day since 2026-10-22. Investment adviser representatives only; broker-only moves (FINRA BrokerCheck) aren't included. Reported team moves and deals are in Advisor Moves.