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 |
|---|---|---|---|---|---|
| Matthew Brian Ellis | Advice And Planning Services BD affiliated | E*Trade Capital Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 13, 2020 | Mar 4, 2021 (111 d) |
| Matthew John Farrell | Advice And Planning Services BD affiliated | Facet independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 13, 2020 | May 13, 2021 (181 d) |
| Yvette Curtis Mills | Advice And Planning Services BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Nov 13, 2020 | Apr 26, 2022 (529 d) |
| Valerie C. Pergolizzi | Advice And Planning Services BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Nov 13, 2020 | May 31, 2022 (564 d) |
| Bradley E. Mcintyre | Advice And Planning Services BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Nov 13, 2020 | Mar 18, 2021 (125 d) |
| Michael Joseph Lane | Advice And Planning Services BD affiliated | Commonwealth Financial Network national BD | Affiliated broker-dealer or bank to another | Nov 13, 2020 | Jul 6, 2021 (235 d) |
| Michael Sabra | Advice And Planning Services BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Nov 13, 2020 | Jan 22, 2021 (70 d) |
| Matthew Pitzer | Advice And Planning Services BD affiliated | Citigroup Global Markets Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 13, 2020 | Aug 18, 2022 (643 d) |
| James Coffey | Advice And Planning Services BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Nov 13, 2020 | Sep 23, 2021 (314 d) |
| Jordan Robert Curtis | Advice And Planning Services BD affiliated | Northwest Asset Management independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 13, 2020 | Dec 1, 2020 |
| Brad J. Bjorklund | Advice And Planning Services BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Nov 13, 2020 | Sep 13, 2021 (304 d) |
| Melanie Simons | Advice And Planning Services BD affiliated | Reframe Wealth, LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Nov 13, 2020 | Apr 2, 2021 (140 d) |
| Spencer Mark Humphrey | Advice And Planning Services BD affiliated | Soltis Investment Advisors, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 13, 2020 | Mar 4, 2021 (111 d) |
| Jason Devlin | Advice And Planning Services BD affiliated | Charles Schwab & Co., Inc. national BD | Affiliated broker-dealer or bank to another | Nov 13, 2020 | Nov 17, 2020 |
| Charles Leland Nedele | Advice And Planning Services BD affiliated | Theory Financial independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 13, 2020 | Jan 15, 2021 (63 d) |
| Kwami Austin | Advice And Planning Services BD affiliated | M1 Advisory no RAUM | Other | Nov 13, 2020 | Mar 18, 2026 (1951 d) |
| Denise M. Govoni | Advice And Planning Services BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Nov 13, 2020 | Jan 12, 2021 (60 d) |
| Aaron Robert Day | Advice And Planning Services BD affiliated | Capital Advisors, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 13, 2020 | Dec 23, 2020 (40 d) |
| Jarett Chance Adair | Advice And Planning Services BD affiliated | Edward Jones national BD | Affiliated broker-dealer or bank to another | Nov 13, 2020 | Jan 21, 2021 (69 d) |
| Bryan Michael Welborn | Advice And Planning Services BD affiliated | Vanguard Advisers, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 13, 2020 | Dec 2, 2020 |
| Katy Demarco Biddle | Advice And Planning Services BD affiliated | Capital Analysts BD affiliated | Affiliated broker-dealer or bank to another | Nov 13, 2020 | Jan 4, 2021 (52 d) |
| Amy L Pastorino | Advice And Planning Services BD affiliated | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Nov 13, 2020 | Nov 19, 2020 |
| John Andrew Correll | Advice And Planning Services BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 13, 2020 | Nov 30, 2020 |
| David Alfred Holloway | Advice And Planning Services BD affiliated | Northwestern Mutual Investment Services,LLC no RAUM | Other | Nov 13, 2020 | Nov 13, 2020 |
| Herman Tkach | Advice And Planning Services BD affiliated | Mercer Global Advisors Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 13, 2020 | Sep 18, 2024 (1405 d) |
| Gregory H Kirwan | Advice And Planning Services BD affiliated | The Windmill Group, Inc. no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Nov 13, 2020 | Feb 4, 2021 (83 d) |
| Jakub Marek Kulenty | Advice And Planning Services BD affiliated | Fisher Investments independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 13, 2020 | Mar 19, 2021 (126 d) |
| William Edgar Allen | Advice And Planning Services BD affiliated | Equitable Advisors, LLC national BD | Affiliated broker-dealer or bank to another | Nov 13, 2020 | Nov 10, 2020 |
| Philine Weahdi Darwin-Kennedy | Advice And Planning Services BD affiliated | Empower Advisory Group, LLC institutional | Other | Nov 13, 2020 | Jan 14, 2021 (62 d) |
| Michael Bergum | Advice And Planning Services BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Nov 13, 2020 | Nov 25, 2020 |
| Justin H Volkmar | Advice And Planning Services BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Nov 13, 2020 | Nov 23, 2020 |
| Curtis Hurren | Advice And Planning Services BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Nov 13, 2020 | Oct 13, 2022 (699 d) |
| Keith Michael Prybylski | Advice And Planning Services BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Nov 13, 2020 | Dec 9, 2020 |
| John Michael Schuler | Advice And Planning Services BD affiliated | Charles Schwab & Co., Inc. national BD | Affiliated broker-dealer or bank to another | Nov 13, 2020 | Dec 7, 2020 |
| Erek Reynolds | Advice And Planning Services BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Nov 13, 2020 | Aug 6, 2021 (266 d) |
| Adam Christopher Grantham | Advice And Planning Services BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 13, 2020 | Aug 16, 2021 (276 d) |
| Scott Richter | Advice And Planning Services BD affiliated | Otium Financial unclassified | Other | Nov 13, 2020 | Jan 6, 2021 (54 d) |
| Brannigan James Judge | Advice And Planning Services BD affiliated | Pinnacle Investments, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 13, 2020 | Nov 20, 2020 |
| Andrew William Pryde | Advice And Planning Services BD affiliated | Northwestern Mutual Investment Services,LLC no RAUM | Other | Nov 13, 2020 | May 6, 2021 (174 d) |
| Andrea Marie Dyer | Advice And Planning Services BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Nov 13, 2020 | Mar 16, 2021 (123 d) |
| Vanessa Tavera | Advice And Planning Services BD affiliated | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Nov 13, 2020 | Nov 13, 2020 |
| Alma Delia Mendez | Advice And Planning Services BD affiliated | Fisher Investments independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 13, 2020 | Feb 10, 2021 (89 d) |
| Steven Joseph Vannostrand | Advice And Planning Services BD affiliated | Goodman Financial Corporation independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 13, 2020 | Jan 21, 2021 (69 d) |
| Chad Lynn Wood | Advice And Planning Services BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Nov 13, 2020 | Jan 26, 2021 (74 d) |
| Justin S Palett | Advice And Planning Services BD affiliated | Otium Financial unclassified | Other | Nov 13, 2020 | Jan 6, 2021 (54 d) |
| Nicholas John Schneider | Advice And Planning Services BD affiliated | Pruco Securities, LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 13, 2020 | Nov 12, 2020 |
| Richard S Marx | Advice And Planning Services BD affiliated | Commonwealth Financial Network national BD | Affiliated broker-dealer or bank to another | Nov 13, 2020 | Aug 2, 2021 (262 d) |
| Paul F. Halbkram | Advice And Planning Services BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Nov 13, 2020 | Nov 16, 2020 |
| Douglas William Smith | Advice And Planning Services BD affiliated | Mcadam LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 13, 2020 | Oct 6, 2021 (327 d) |
| Anca Garcia | Advice And Planning Services BD affiliated | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Nov 13, 2020 | Jan 20, 2022 (433 d) |
| Jennifer Goodwin | Advice And Planning Services BD affiliated | Motley Fool Wealth Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 13, 2020 | Dec 24, 2020 (41 d) |
| Yusuf Mohamed Bondae | Advice And Planning Services BD affiliated | Schwab Wealth Advisory, Inc. no RAUM | Other | Nov 13, 2020 | Dec 18, 2020 (35 d) |
| Joshua Richard Brandon Griep | Advice And Planning Services BD affiliated | Cetera Advisors LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 13, 2020 | Nov 2, 2020 |
| Russell Corona | Advice And Planning Services BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 13, 2020 | Apr 30, 2021 (168 d) |
| Justin Hernandez | 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 |
| Kevin Ryan Lao | Advice And Planning Services BD affiliated | Imagine Financial Security LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Nov 13, 2020 | Oct 3, 2024 (1420 d) |
| Daniel L. Brown | Advice And Planning Services BD affiliated | Vanguard Advisers, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 13, 2020 | Dec 16, 2020 (33 d) |
| Susan Claywell | Advice And Planning Services BD affiliated | Fifth Third Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 13, 2020 | Nov 1, 2022 (718 d) |
| Don Henry Raymond | Advice And Planning Services BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Nov 13, 2020 | Jan 4, 2021 (52 d) |
| Yu-Sun Chan | Advice And Planning Services BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Nov 13, 2020 | Mar 12, 2021 (119 d) |