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

Stuart Fontaine Thomas

Advice And Planning ServicesBD affiliatedCharlotte, Ncdual registrantIAPD 7816134

Feed of 09/14/2026

Also filed as Stuart Fontaine Thomas

At current firm

0 y

since Jul 17, 2026

In the industry

14 y

since Jul 1, 2012 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

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 Jul 17, 2026 · Charlotte, Nc
Park Avenue Securities LLC BD affiliated
Apr 4, 2025 to Jul 8, 2026 · Charlotte, Nc
Esi Financial Advisors independent RIA
Oct 16, 2024 to Feb 18, 2025 · Charlotte, Nc
LPL Financial LLC BD affiliated
Feb 12, 2024 to Jun 28, 2024 · San Diego, Ca
Equitable Advisors, LLC national BD
Dec 13, 2023 to Jan 11, 2024 · Boca Raton, Fl

Moves

a registration end followed by a registration begin elsewhere

Park Avenue Securities LLC to Advice And Planning Services
left Jul 8, 2026, registered Jul 17, 2026 (9 days) · Affiliated broker-dealer or bank to another
Esi Financial Advisors to Park Avenue Securities LLC
left Feb 18, 2025, registered Apr 4, 2025 (45 days) · RIA to affiliated broker-dealer or bank
LPL Financial LLC to Esi Financial Advisors
left Jun 28, 2024, registered Oct 16, 2024 (110 days) · Affiliated broker-dealer or bank to independent RIA
Equitable Advisors, LLC to LPL Financial LLC
left Jan 11, 2024, registered Feb 12, 2024 (32 days) · Affiliated broker-dealer or bank to another

Signals

Stuart Fontaine Thomas left Park Avenue Securities Llc for Advice And Planning Services (registered 2026-07-17)
Jul 8, 2026 · Advisor changed firm · fact
Stuart Fontaine Thomas left Esi Financial Advisors for Park Avenue Securities Llc (registered 2025-04-04)
Feb 18, 2025 · Advisor changed firm · fact
Stuart Fontaine Thomas left Lpl Financial Llc for Esi Financial Advisors (registered 2024-10-16)
Jun 28, 2024 · Advisor changed firm · fact
Stuart Fontaine Thomas left Equitable Advisors, Llc for Lpl Financial Llc (registered 2024-02-12)
Jan 11, 2024 · 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: 14derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address