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.

Registered advisor

Daniel James Bubbico

Advice And Planning ServicesBD affiliatedTega Cay, Sc dual registrantIAPD 4385312

Feed of 09/15/2026

Also filed as Dan J Bubbico

At current firm

0 y

since Apr 22, 2026

In the industry

25 y

since Jun 12, 2001 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

Advice And Planning Services BD affiliated current
since Apr 22, 2026 · Tega Cay, Sc
J.P. Morgan Securities LLC wirehouse
Jan 15, 2025 to Apr 19, 2026 · Indian Land, Sc
Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse
May 15, 2024 to Jan 21, 2025 · Charlotte, Nc
Foundations Investment Advisors LLC independent RIA
Sep 19, 2023 to Jan 25, 2024 · Charlotte, Nc
Alloy Investment Management state registered
Sep 12, 2023 to Jan 23, 2024 · Greenville, Sc
Truist Advisory Services, Inc. BD affiliated
Feb 17, 2021 to Aug 23, 2023 · Atlanta, Ga
Bb&T Securities, LLC former
Jun 17, 2020 to Feb 17, 2021 · Charlotte, Nc
Wells Fargo Advisors wirehouse
Jan 8, 2014 to Jun 16, 2020 · Ridgefield, Ct
Msi Financial Services, Inc. former
Jul 2, 2013 to Jan 2, 2014 · Shelton, Ct

Moves

a registration end followed by a registration begin elsewhere

J.P. Morgan Securities LLC to Advice And Planning Services
left Apr 19, 2026, registered Apr 22, 2026 (3 days) · Wirehouse to affiliated broker-dealer or bank
Merrill Lynch, Pierce, Fenner & Smith Incorporated to J.P. Morgan Securities LLC
left Jan 21, 2025, registered Jan 15, 2025 (-6 days) · Wirehouse to wirehouse
Foundations Investment Advisors LLC to Merrill Lynch, Pierce, Fenner & Smith Incorporated
left Jan 25, 2024, registered May 15, 2024 (111 days) · RIA to wirehouse
Alloy Investment Management to Foundations Investment Advisors LLC
left Jan 23, 2024, registered Sep 19, 2023 (-126 days) · Other
Truist Advisory Services, Inc. to Alloy Investment Management
left Aug 23, 2023, registered Sep 12, 2023 (20 days) · Affiliated broker-dealer or bank to a state-registered adviser
Bb&T Securities, LLC to Truist Advisory Services, Inc.
left Feb 17, 2021, registered Feb 17, 2021 (0 days) · corporate re-registration, not a move
Wells Fargo Advisors to Bb&T Securities, LLC
left Jun 16, 2020, registered Jun 17, 2020 (1 days) · Wirehouse to affiliated broker-dealer or bank
Msi Financial Services, Inc. to Wells Fargo Advisors
left Jan 2, 2014, registered Jan 8, 2014 (6 days) · Other

Signals

Daniel James Bubbico left J.P. Morgan Securities Llc for Advice And Planning Services (registered 2026-04-22)
Apr 19, 2026 · Advisor changed firm · fact
Daniel James Bubbico left Merrill Lynch, Pierce, Fenner & Smith Incorporated for J.P. Morgan Securities Llc (registered 2025-01-15)
Jan 21, 2025 · Advisor changed firm · fact
Daniel James Bubbico left Foundations Investment Advisors Llc for Merrill Lynch, Pierce, Fenner & Smith Incorporated (registered 2024-05-15)
Jan 25, 2024 · Advisor changed firm · fact
Daniel James Bubbico left Alloy Investment Management for Foundations Investment Advisors Llc (registered 2023-09-19)
Jan 23, 2024 · Advisor changed firm · fact
Daniel James Bubbico left Truist Advisory Services, Inc. for Alloy Investment Management (registered 2023-09-12)
Aug 23, 2023 · Advisor changed firm · fact

Transition signals

Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.

Provenance

Source: IAPD individual compilation feedreportedadviserinfo.sec.gov
Firm class: Broker-dealer affiliated wealth managerderived
Years in industry: 25derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address