DFX Intelligence

Data Factory

RIA / WealthAdvisordual registered (broker-dealer)20 years in industry

Luis Felipe Castillo

Advisor at ADVICE AND PLANNING SERVICES

Austin, TX

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:6cf5d258-d25e-ec5f-de99-e6d930f977a0

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 18, 2026, 10:33 PM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 2
On other graphs: 0
Observed: Feb 17, 2009 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: ADVICE AND PLANNING SERVICES
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jul 14, 2006earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 7
Current registrations: 1
Registered states: 1
Exams: S63|S66
First exam: Jul 14, 2006
First registration: Feb 17, 2009
Dual registered: yes, broker-dealer
Other names: Luis F Castillo|LUIS FELIPE CASTILLO|LUIS FELIPE CASTILLO|Felipe Castillo|LUIS FELIPE CASTILLO
IAPD individual key: 5158192

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
ADVICE AND PLANNING SERVICES	Bd affiliated wealth	Feb 23, 2024	n/a	yes	Austin, TX\|Austin, TX	Current employment
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Oct 31, 2022	Jan 24, 2024	no	HOUSTON, TX	Previous registration
CETERA INVESTMENT ADVISERS LLC	Bd affiliated wealth	Mar 30, 2021	Oct 14, 2022	no	HOUSTON, TX	Previous registration
PNC MANAGED ACCOUNT SOLUTIONS, INC.	Former SEC adviser	Mar 30, 2018	Oct 4, 2019	no	Houston, TX	Previous registration
FROST INVESTMENT SERVICES	Bd affiliated wealth	Oct 5, 2017	Feb 23, 2018	no	HOUSTON, TX	Previous registration
J.P. MORGAN SECURITIES LLC	Wirehouse	Oct 1, 2012	Nov 7, 2013	no	HOUSTON, TX\|Houston, TX	Previous registration
CHASE INVESTMENT SERVICES CORP.	Former SEC adviser	May 7, 2010	Oct 1, 2012	no	HOUSTON, TX\|HOUSTON, TX\|HOUSTON, TX	Previous registration
CHASE INVESTMENT SERVICES CORP.	Former SEC adviser	Feb 17, 2009	Apr 28, 2009	no	HOUSTON, TX\|HOUSTON, TX\|HOUSTON, TX\|HOUSTON, TX\|HOUSTON, TX	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	ADVICE AND PLANNING SERVICES	Jan 24, 2024	Feb 23, 2024	30	Firm change	Wirehouse to ibd
CETERA INVESTMENT ADVISERS LLC	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Oct 14, 2022	Oct 31, 2022	17	Firm change	Ibd to wirehouse
PNC MANAGED ACCOUNT SOLUTIONS, INC.	CETERA INVESTMENT ADVISERS LLC	Oct 4, 2019	Mar 30, 2021	543	Firm change after gap	Ibd to ibd
FROST INVESTMENT SERVICES	PNC MANAGED ACCOUNT SOLUTIONS, INC.	Feb 23, 2018	Mar 30, 2018	35	Firm change	Other
J.P. MORGAN SECURITIES LLC	FROST INVESTMENT SERVICES	Nov 7, 2013	Oct 5, 2017	1,428	Firm change after gap	Other
CHASE INVESTMENT SERVICES CORP.	J.P. MORGAN SECURITIES LLC	Oct 1, 2012	Oct 1, 2012	0	Bulk transfer	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
7691:20472:TX:2024-01-24	Jan 24, 2024	Feb 23, 2024	HOUSTON, TX	Firm change

Relationships

Registered with (7)

→ ADVICE AND PLANNING SERVICESRegistered adviserregistration: current employment
Feb 23, 2024 to presentfactForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Oct 31, 2022 to Jan 24, 2024factForm ADV
→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: previous registration
Mar 30, 2021 to Oct 14, 2022factForm ADV
→ PNC MANAGED ACCOUNT SOLUTIONS, INC.Registered adviserregistration: previous registration
Mar 30, 2018 to Oct 4, 2019factForm ADV
→ FROST INVESTMENT SERVICESRegistered adviserregistration: previous registration
Oct 5, 2017 to Feb 23, 2018factForm ADV
→ J.P. MORGAN SECURITIES LLCRegistered adviserregistration: previous registration
Oct 1, 2012 to Nov 7, 2013factForm ADV
→ CHASE INVESTMENT SERVICES CORP.Registered adviserregistration: previous registration
May 7, 2010 to Oct 1, 2012factForm ADV

Dated events

Occurred
Jan 24, 2024
Advisor changed firm
Luis Felipe Castillo left Merrill Lynch, Pierce, Fenner & Smith Incorporated for Advice And Planning Services (registered 2024-02-23)
Form ADVobserved 3 days ago
Occurred
Oct 14, 2022
Advisor changed firm
Luis Felipe Castillo left Cetera Investment Advisers Llc for Merrill Lynch, Pierce, Fenner & Smith Incorporated (registered 2022-10-31)
Form ADVobserved 3 days ago