DFX Intelligence
Advisor moves
Departures from Advice And Planning ServicesWhat a move isA 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.
1,609 moves
| Advisor | From | To | Type | Left | Registered |
|---|---|---|---|---|---|
| Laura A Herl | Advice And Planning Services BD affiliated | Schwab Wealth Advisory, Inc. no RAUM | Other | Nov 13, 2020 | Jun 28, 2022 (592 d) |
| Janet Kang | Advice And Planning Services BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Nov 13, 2020 | Jun 18, 2021 (217 d) |
| Christopher Chadwell Nelson | Advice And Planning Services BD affiliated | Charles Schwab & Co., Inc. national BD | Affiliated broker-dealer or bank to another | Nov 13, 2020 | Apr 8, 2021 (146 d) |
| Connor Matthew Tyson | Advice And Planning Services BD affiliated | Altium Wealth Management LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 13, 2020 | Jan 26, 2021 (74 d) |
| Daniel Roy Vinton | Advice And Planning Services BD affiliated | Vanguard Advisers, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 13, 2020 | Nov 25, 2020 |
| Thomas G Braun | Advice And Planning Services BD affiliated | Theory Financial independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 13, 2020 | Nov 3, 2020 |
| Jeannie Lynn Ilievski | Advice And Planning Services BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Nov 13, 2020 | Jan 20, 2021 (68 d) |
| Jamie P Frazier | Advice And Planning Services BD affiliated | Moors & Cabot, Inc BD affiliated | Affiliated broker-dealer or bank to another | Nov 13, 2020 | Jan 15, 2021 (63 d) |
| Michael Stephen Ellis | Advice And Planning Services BD affiliated | Fisher Investments independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 13, 2020 | Jul 23, 2021 (252 d) |
| Jeffrey Scott Freiser | Advice And Planning Services BD affiliated | Raymond James Financial Services Advisors, Inc BD affiliated | Affiliated broker-dealer or bank to another | Nov 13, 2020 | Jun 11, 2021 (210 d) |
| Juan Carlos Rodriguez | Advice And Planning Services BD affiliated | Charles Schwab & Co., Inc. national BD | Affiliated broker-dealer or bank to another | Nov 13, 2020 | Oct 19, 2021 (340 d) |
| Anthony Joseph Scola | Advice And Planning Services BD affiliated | Sagepoint Financial, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 13, 2020 | Dec 15, 2020 (32 d) |
| Michael Juergen Bock | Advice And Planning Services BD affiliated | Private Advisor Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 13, 2020 | Aug 27, 2024 (1383 d) |
| Timothy Scott Sullivan | Advice And Planning Services BD affiliated | Capital Analysts BD affiliated | Affiliated broker-dealer or bank to another | Nov 13, 2020 | Nov 9, 2020 |
| William Scott Crampton | Advice And Planning Services BD affiliated | Empower Advisory Group, LLC institutional | Other | Nov 13, 2020 | Dec 4, 2020 |
| Josephti Sotto Cruz | Advice And Planning Services BD affiliated | Northwest Asset Management independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 13, 2020 | Nov 3, 2020 |
| Nicola Saverio Patullo | Advice And Planning Services BD affiliated | Wealthshield Partners, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 13, 2020 | Jan 26, 2023 (804 d) |
| Ryan Cowell | Advice And Planning Services BD affiliated | Arvest Wealth Management independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 13, 2020 | Jul 15, 2021 (244 d) |
| Leslie Ann Morgan | Advice And Planning Services BD affiliated | Schwab Wealth Advisory, Inc. no RAUM | Other | Nov 13, 2020 | Sep 9, 2021 (300 d) |
| Thomas Frank Goforth | Advice And Planning Services BD affiliated | Pruco Securities, LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 13, 2020 | Jan 11, 2021 (59 d) |
| Johnson George Andrews | Advice And Planning Services BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 13, 2020 | Nov 3, 2020 |
| Asbjorn Edward Sanders | Advice And Planning Services BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Nov 13, 2020 | Nov 10, 2020 |
| Brian Joseph Rellihan | Advice And Planning Services BD affiliated | Wise Wealth Partners, LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Nov 13, 2020 | Feb 4, 2021 (83 d) |
| Melville Waithe | Advice And Planning Services BD affiliated | Truist Advisory Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 13, 2020 | Oct 27, 2021 (348 d) |
| Leonard D Dewberry | Advice And Planning Services BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Nov 13, 2020 | Feb 22, 2022 (466 d) |
| Gregory Michael Schuler | Advice And Planning Services BD affiliated | Spotlight Asset Group independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 13, 2020 | Jan 12, 2021 (60 d) |
| Stewart John Burchfield | Advice And Planning Services BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 13, 2020 | Nov 12, 2020 |
| David A Torres | Advice And Planning Services BD affiliated | E*Trade Capital Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 13, 2020 | Jun 9, 2021 (208 d) |
| Louis Jude Delorenzo | Advice And Planning Services BD affiliated | Charles Schwab & Co., Inc. national BD | Affiliated broker-dealer or bank to another | Nov 13, 2020 | Mar 9, 2021 (116 d) |
| Jeremy Brandon Houy | Advice And Planning Services BD affiliated | M Holdings Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 13, 2020 | May 11, 2021 (179 d) |
| Mary H Goesel | Advice And Planning Services BD affiliated | Facet independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 13, 2020 | Jan 21, 2021 (69 d) |
| Kyle Eugene Andrews | Advice And Planning Services BD affiliated | Creative Planning independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 13, 2020 | Mar 1, 2022 (473 d) |
| Gregory Lewis Klar | Advice And Planning Services BD affiliated | Sfi Advisors, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 13, 2020 | Jan 25, 2022 (438 d) |
| Brian Andrew Buchmeier | Advice And Planning Services BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Nov 13, 2020 | Sep 14, 2021 (305 d) |
| Peter Arpin | Advice And Planning Services BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Nov 13, 2020 | Jul 18, 2022 (612 d) |
| Michelle Renee Elliott | Advice And Planning Services BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Nov 13, 2020 | Mar 8, 2021 (115 d) |
| Benjamin Donald Hoy | Advice And Planning Services BD affiliated | Raymond James Financial Services Advisors, Inc BD affiliated | Affiliated broker-dealer or bank to another | Nov 13, 2020 | Dec 21, 2020 (38 d) |
| Kimberly B Dulaurence | Advice And Planning Services BD affiliated | Facet independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 13, 2020 | Mar 1, 2021 (108 d) |
| Scott Allen Lermack | Advice And Planning Services BD affiliated | Pine Valley Investments independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 13, 2020 | Jan 31, 2022 (444 d) |
| Ryan Derek Holbert | Advice And Planning Services BD affiliated | Pruco Securities, LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 13, 2020 | Feb 3, 2022 (447 d) |
| Jermaine Guthrie | Advice And Planning Services BD affiliated | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Nov 13, 2020 | Jun 9, 2021 (208 d) |
| Gary Michael Gingrich | Advice And Planning Services BD affiliated | Charles Schwab & Co., Inc. national BD | Affiliated broker-dealer or bank to another | Nov 13, 2020 | Jan 4, 2021 (52 d) |
| Janet Ann Wulf | Advice And Planning Services BD affiliated | Ally Invest Advisors independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 13, 2020 | Nov 30, 2021 (382 d) |
| Daren L Queenan | Advice And Planning Services BD affiliated | E*Trade Capital Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 13, 2020 | Jun 3, 2021 (202 d) |
| Bryan Tyrell Stiger | Advice And Planning Services BD affiliated | Betterment independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 13, 2020 | Dec 1, 2020 |
| Jonathan Patrick Blevins | Advice And Planning Services BD affiliated | Alphastar Capital Management independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 13, 2020 | Feb 16, 2021 (95 d) |
| Toni Rottingen | Advice And Planning Services BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Nov 13, 2020 | Jul 13, 2021 (242 d) |
| Jeffrey Paul Mcdermott | Advice And Planning Services BD affiliated | Create Wealth Financial Planning LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Nov 13, 2020 | Mar 5, 2021 (112 d) |
| Romania Quan Lee | Advice And Planning Services BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Nov 13, 2020 | Jan 18, 2022 (431 d) |
| Nathan Buzaid Thomsen | Advice And Planning Services BD affiliated | Advisors Capital Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 13, 2020 | Jul 19, 2021 (248 d) |
| Christopher J Arcuri | Advice And Planning Services BD affiliated | E*Trade Capital Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 13, 2020 | Jun 4, 2021 (203 d) |
| Flint T Schuller | Advice And Planning Services BD affiliated | Dempsey Lord Smith, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 13, 2020 | Jun 30, 2021 (229 d) |
| Karim Bekkadja | Advice And Planning Services BD affiliated | Northwestern Mutual Investment Services,LLC no RAUM | Other | Nov 13, 2020 | Nov 29, 2022 (746 d) |
| Eugene Gershman | Advice And Planning Services BD affiliated | Northwestern Mutual Investment Services,LLC no RAUM | Other | Nov 13, 2020 | Mar 1, 2021 (108 d) |
| Amit S Shah | Advice And Planning Services BD affiliated | Edward Jones national BD | Affiliated broker-dealer or bank to another | Nov 13, 2020 | Nov 3, 2020 |
| Sean Jeffrey Fletcher | Advice And Planning Services BD affiliated | Plan Sponsor Solutions unclassified | Other | Nov 13, 2020 | Apr 9, 2021 (147 d) |
| Trinity S. Gray | Advice And Planning Services BD affiliated | Thrivent Investment Management Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 13, 2020 | Feb 2, 2021 (81 d) |
| Robert Tannehill Leuffen | Advice And Planning Services BD affiliated | Torrey Wealth, LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Nov 13, 2020 | Nov 4, 2020 |
| Timothy Jay Cordell | Advice And Planning Services BD affiliated | State Farm Investment Management Corp. asset manager | Other | Nov 13, 2020 | Feb 22, 2022 (466 d) |
| Mark Daniel Dickamore | Advice And Planning Services BD affiliated | Mariner BD affiliated | Affiliated broker-dealer or bank to another | Nov 13, 2020 | Nov 4, 2020 |