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.
Advisor moves
Departures from Advice And Planning Services
A move is two dates on IAPD: the day a person’s registration through one firm ended and the day a registration through another began. The type reads the class of each firm. This is the movement tape the mobility research is validated against; it says what happened, never why, and never who is about to.
| Advisor | From | To | Type | Left | Registered |
|---|---|---|---|---|---|
| Ian Flores | Advice And Planning Services BD affiliated | Vanguard Advisers, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 17, 2026 | Aug 25, 2026 |
| Steven Michael Segura | Advice And Planning Services BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 6, 2026 | Aug 13, 2026 |
| Reiss Nye Holt | Advice And Planning Services BD affiliated | International Assets Investment Management, LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 5, 2026 | Aug 13, 2026 |
| Grant Sevier Conway | Advice And Planning Services BD affiliated | Vanguard Advisers, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 28, 2026 | Sep 10, 2026 (44 d) |
| Jon Feigitsch | Advice And Planning Services BD affiliated | Empower Advisory Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 10, 2026 | Sep 16, 2026 (68 d) |
| Zachary Archer | Advice And Planning Services BD affiliated | Charles Schwab & Co., Inc. national BD | Affiliated broker-dealer or bank to another | Jul 9, 2026 | Aug 13, 2026 (35 d) |
| Jason Michael Boeckman | Advice And Planning Services BD affiliated | Key Investment Services LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 9, 2026 | Aug 12, 2026 (34 d) |
| Jesse Martin Bryan | Advice And Planning Services BD affiliated | Cliftonlarsonallen Wealth Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 9, 2026 | Jul 22, 2026 |
| Eddie Holguin Sosa | Advice And Planning Services BD affiliated | Empower Advisory Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 9, 2026 | Aug 4, 2026 |
| Thomas James Sandt | Advice And Planning Services BD affiliated | Mercer Global Advisors Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 7, 2026 | Aug 10, 2026 (34 d) |
| Brett Allan Hendricksen | Advice And Planning Services BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 7, 2026 | Jul 2, 2026 |
| Tyler David Stearnes | Advice And Planning Services BD affiliated | Vanguard Advisers, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jun 24, 2026 | Aug 20, 2026 (57 d) |
| Richard P Branco | Advice And Planning Services BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Jun 22, 2026 | Jun 22, 2026 |
| Adria Cota | Advice And Planning Services BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Jun 22, 2026 | Jul 2, 2026 |
| Benjamin Clayton Forte | Advice And Planning Services BD affiliated | Kickstand Wealth Advisors independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 17, 2026 | Jun 26, 2026 |
| Scott Edward Mccaffrey | Advice And Planning Services BD affiliated | Focus Partners Wealth, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 15, 2026 | Jul 13, 2026 |
| Noah D Krebs | Advice And Planning Services BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Jun 15, 2026 | Jun 16, 2026 |
| Matthew B Case | Advice And Planning Services BD affiliated | Stifel, Nicolaus & Company, Incorporated national BD | Affiliated broker-dealer or bank to another | Jun 11, 2026 | Sep 15, 2026 (96 d) |
| Heather M Coleman | Advice And Planning Services BD affiliated | Edward Jones national BD | Affiliated broker-dealer or bank to another | Jun 10, 2026 | Jul 2, 2026 |
| Melody Susan Evans | Advice And Planning Services BD affiliated | Newedge Advisors BD affiliated | Affiliated broker-dealer or bank to another | Jun 9, 2026 | Jun 12, 2026 |
| Collin Roy Church Glover | Advice And Planning Services BD affiliated | Legacy Edge Advisors independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 5, 2026 | Jun 26, 2026 |
| John Eric Tenofsky | Advice And Planning Services BD affiliated | Key Investment Services LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 4, 2026 | Jul 9, 2026 (35 d) |
| Kevin Spence | Advice And Planning Services BD affiliated | Empower Advisory Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | May 29, 2026 | Jun 15, 2026 |
| Jason Leonard Bertsch | Advice And Planning Services BD affiliated | Newedge Advisors BD affiliated | Affiliated broker-dealer or bank to another | May 26, 2026 | Jun 22, 2026 |
| Maxwell Deoreo | Advice And Planning Services BD affiliated | Pnc Wealth Management BD affiliated | Affiliated broker-dealer or bank to another | May 20, 2026 | May 28, 2026 |
| Kevin Joseph Brey | Advice And Planning Services BD affiliated | Wealthcare Advisory Partners LLC BD affiliated | Affiliated broker-dealer or bank to another | May 15, 2026 | Jun 11, 2026 |
| Sheryl Curtis | Advice And Planning Services BD affiliated | Fbl Wealth Management, LLC BD affiliated | Affiliated broker-dealer or bank to another | May 12, 2026 | Jul 8, 2026 (57 d) |
| Raymond Lyle Durant | Advice And Planning Services BD affiliated | Key Investment Services LLC BD affiliated | Affiliated broker-dealer or bank to another | May 11, 2026 | Jun 1, 2026 |
| Jarrod John Sleppy | Advice And Planning Services BD affiliated | Legacy Edge Advisors independent RIA | Affiliated broker-dealer or bank to independent RIA | May 11, 2026 | Jun 26, 2026 (46 d) |
| Lutelles Lindley White | Advice And Planning Services BD affiliated | Legacy Edge Advisors independent RIA | Affiliated broker-dealer or bank to independent RIA | May 11, 2026 | Jun 17, 2026 (37 d) |
| Joshua James Garnet Davis | Advice And Planning Services BD affiliated | Wealth Enhancement Advisory Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | May 4, 2026 | May 15, 2026 |
| James Wesley Humphries | Advice And Planning Services BD affiliated | Fisher\Smb institutional | Other | May 4, 2026 | May 22, 2026 |
| Diego Rojo Arisso | Advice And Planning Services BD affiliated | Empower Advisory Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | May 4, 2026 | Jun 1, 2026 |
| Connor John Bain | Advice And Planning Services BD affiliated | Stonex Advisors Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 4, 2026 | May 27, 2026 |
| Dave Anthony Boothe | Advice And Planning Services BD affiliated | Falcon Wealth Planning, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 23, 2026 | May 11, 2026 |
| Christopher Bruce Nicholson | Advice And Planning Services BD affiliated | Mariner BD affiliated | Affiliated broker-dealer or bank to another | Apr 22, 2026 | May 5, 2026 |
| Doug Kalleen Eidd | Advice And Planning Services BD affiliated | Hub Investment Partners, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 20, 2026 | May 26, 2026 (36 d) |
| Justin Graham Branch | Advice And Planning Services BD affiliated | Hightower Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 20, 2026 | Apr 21, 2026 |
| Danielle Renea Halford | Advice And Planning Services BD affiliated | Robinhood Asset Management BD affiliated | Affiliated broker-dealer or bank to another | Apr 13, 2026 | Sep 9, 2026 (149 d) |
| Laura Ferguson | Advice And Planning Services BD affiliated | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Apr 10, 2026 | Apr 23, 2026 |
| Graham Reese Silvey | Advice And Planning Services BD affiliated | Nuveen Asset Management, LLC mixed wealth | Affiliated broker-dealer or bank to independent RIA | Apr 9, 2026 | May 12, 2026 (33 d) |
| Mark Andrew Sherman | Advice And Planning Services BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 6, 2026 | May 4, 2026 |
| Patricia Ann Brondyke | Advice And Planning Services BD affiliated | U.S. Bancorp Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 2, 2026 | Apr 22, 2026 |
| Tara Anne Davis | Advice And Planning Services BD affiliated | M Holdings Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 1, 2026 | Apr 1, 2026 |
| Lisa Brogan Dieter | Advice And Planning Services BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Mar 31, 2026 | Apr 30, 2026 |
| Keith David Gaffney | Advice And Planning Services BD affiliated | Newedge Advisors BD affiliated | Affiliated broker-dealer or bank to another | Mar 30, 2026 | Apr 23, 2026 |
| Brian Andrew Buchmeier | Advice And Planning Services BD affiliated | Edward Jones national BD | Affiliated broker-dealer or bank to another | Mar 30, 2026 | May 1, 2026 (32 d) |
| Katelyn Drake Depew | Advice And Planning Services BD affiliated | Mercer Global Advisors Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 30, 2026 | May 4, 2026 (35 d) |
| Jansen Eugene Mccabe | Advice And Planning Services BD affiliated | Fisher Investments independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 30, 2026 | Apr 20, 2026 |
| Brenda Wooten | Advice And Planning Services BD affiliated | Valic Financial Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 30, 2026 | Apr 28, 2026 |
| Joseph Matthew Mcfaddin | Advice And Planning Services BD affiliated | Cornerstone Wealth Planning independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 25, 2026 | Apr 9, 2026 |
| Antonio Rhee | Advice And Planning Services BD affiliated | One Capital Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 23, 2026 | Apr 22, 2026 |
| John Michael Merritt | Advice And Planning Services BD affiliated | Creative Planning independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 23, 2026 | Apr 22, 2026 |
| Quinston Devante Little | Advice And Planning Services BD affiliated | Vanguard Advisers, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 20, 2026 | Aug 21, 2026 (154 d) |
| David Robert Ryan | Advice And Planning Services BD affiliated | Newedge Advisors BD affiliated | Affiliated broker-dealer or bank to another | Mar 18, 2026 | Apr 16, 2026 |
| Jason E Zehr | Advice And Planning Services BD affiliated | Stifel, Nicolaus & Company, Incorporated national BD | Affiliated broker-dealer or bank to another | Mar 13, 2026 | Apr 13, 2026 (31 d) |
| Daniel Kang | Advice And Planning Services BD affiliated | One Capital Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 11, 2026 | Apr 22, 2026 (42 d) |
| Greg Eric Graham | Advice And Planning Services BD affiliated | Townsend independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 6, 2026 | Jun 5, 2026 (91 d) |
| Sopha Liu | Advice And Planning Services BD affiliated | Strategic Advisers LLC national BD | Affiliated broker-dealer or bank to another | Mar 6, 2026 | May 4, 2026 (59 d) |
| Thea Ruth Diffendal | Advice And Planning Services BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Mar 6, 2026 | Sep 16, 2026 (194 d) |
Page 1 of 27Next
1,602 moves match.