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

Bart Kendall Gregory

Advice And Planning ServicesBD affiliatedCharlotte, Nc dual registrantIAPD 4615974

Feed of 09/15/2026

Also filed as Bart Gregory Kendall

At current firm

0 y

since Jul 21, 2026

In the industry

22 y

since Oct 23, 2003 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

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 Jul 21, 2026 · Charlotte, Nc
LPL Enterprise, LLC BD affiliated
Nov 17, 2025 to Apr 9, 2026 · Charlotte, Nc
Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse
May 16, 2024 to Oct 13, 2025 · Charlotte, Nc
Credit Union Investment Services state registered
May 9, 2023 to Nov 22, 2023 · Mooresville, Nc
Vanguard Advisers, Inc. BD affiliated
Aug 3, 2022 to Apr 25, 2023 · Charlotte, Nc
LPL Financial LLC BD affiliated
Dec 21, 2021 to Aug 1, 2022 · Charlotte, Nc
Allstate Financial Advisors, LLC BD affiliated
Aug 26, 2015 to Jun 1, 2021 · Orlando, Fl
Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse
Sep 25, 2013 to Jan 2, 2014 · Jacksonville, Fl
Edward Jones national BD
Jan 23, 2007 to Oct 10, 2008 · Orlando, Fl

Moves

a registration end followed by a registration begin elsewhere

LPL Enterprise, LLC to Advice And Planning Services
left Apr 9, 2026, registered Jul 21, 2026 (103 days) · Affiliated broker-dealer or bank to another
Merrill Lynch, Pierce, Fenner & Smith Incorporated to LPL Enterprise, LLC
left Oct 13, 2025, registered Nov 17, 2025 (35 days) · Wirehouse to affiliated broker-dealer or bank
Credit Union Investment Services to Merrill Lynch, Pierce, Fenner & Smith Incorporated
left Nov 22, 2023, registered May 16, 2024 (176 days) · Other
Vanguard Advisers, Inc. to Credit Union Investment Services
left Apr 25, 2023, registered May 9, 2023 (14 days) · Affiliated broker-dealer or bank to a state-registered adviser
LPL Financial LLC to Vanguard Advisers, Inc.
left Aug 1, 2022, registered Aug 3, 2022 (2 days) · RIA to affiliated broker-dealer or bank
Allstate Financial Advisors, LLC to LPL Financial LLC
left Jun 1, 2021, registered Dec 21, 2021 (203 days) · Affiliated broker-dealer or bank to another
Merrill Lynch, Pierce, Fenner & Smith Incorporated to Allstate Financial Advisors, LLC
left Jan 2, 2014, registered Aug 26, 2015 (601 days) · Other
Edward Jones to Merrill Lynch, Pierce, Fenner & Smith Incorporated
left Oct 10, 2008, registered Sep 25, 2013 (1811 days) · Affiliated broker-dealer or bank to wirehouse

Signals

Bart Kendall Gregory left Lpl Enterprise, Llc for Advice And Planning Services (registered 2026-07-21)
Apr 9, 2026 · Advisor changed firm · fact
Bart Kendall Gregory left Merrill Lynch, Pierce, Fenner & Smith Incorporated for Lpl Enterprise, Llc (registered 2025-11-17)
Oct 13, 2025 · Advisor changed firm · fact
Bart Kendall Gregory left Credit Union Investment Services for Merrill Lynch, Pierce, Fenner & Smith Incorporated (registered 2024-05-16)
Nov 22, 2023 · Advisor changed firm · fact
Bart Kendall Gregory left Vanguard Advisers, Inc. for Credit Union Investment Services (registered 2023-05-09)
Apr 25, 2023 · Advisor changed firm · fact
Bart Kendall Gregory left Lpl Financial Llc for Vanguard Advisers, Inc. (registered 2022-08-03)
Aug 1, 2022 · 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: 22derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address