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 |
|---|---|---|---|---|---|
| John Boris Onufreiczuk | Advice And Planning Services BD affiliated | Schwab Wealth Advisory, Inc. no RAUM | Other | Aug 20, 2025 | Sep 17, 2025 |
| Leah Katherine Durkee | Advice And Planning Services BD affiliated | Empower Advisory Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 18, 2025 | Sep 19, 2025 (32 d) |
| Delcarme Francois-Lefort | Advice And Planning Services BD affiliated | Empower Advisory Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 15, 2025 | Feb 19, 2026 (188 d) |
| Warren Michael Sypinero | Advice And Planning Services BD affiliated | First Citizens Investor Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 11, 2025 | Aug 19, 2025 |
| Matthew S Stephenson | Advice And Planning Services BD affiliated | One Capital Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 8, 2025 | Sep 3, 2025 |
| Farid Antonio Krizman | Advice And Planning Services BD affiliated | Newedge Advisors BD affiliated | Affiliated broker-dealer or bank to another | Aug 7, 2025 | Aug 29, 2025 |
| Nicholas Wesley Gardner | Advice And Planning Services BD affiliated | One Capital Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 5, 2025 | Sep 3, 2025 |
| Timothy Patrick Sheldon | Advice And Planning Services BD affiliated | One Capital Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 4, 2025 | Sep 3, 2025 |
| James Howard Nitchke | Advice And Planning Services BD affiliated | One Capital Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 4, 2025 | Sep 3, 2025 |
| Zachary Logan Stein | Advice And Planning Services BD affiliated | One Capital Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 4, 2025 | Sep 3, 2025 |
| Sarah E Slusher | Advice And Planning Services BD affiliated | One Capital Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 4, 2025 | Sep 3, 2025 |
| Raymond Chad Frueboes | Advice And Planning Services BD affiliated | Sequoia Financial Group, L.L.C. independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 23, 2025 | Aug 7, 2025 |
| Mark Jason Bosley | Advice And Planning Services BD affiliated | Townsend independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 16, 2025 | Jun 29, 2026 (348 d) |
| Traci Allysan Carrion | Advice And Planning Services BD affiliated | U.S. Bancorp Investments, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 15, 2025 | Jul 23, 2025 |
| Carl Edward Merritt | Advice And Planning Services BD affiliated | Empower Advisory Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 14, 2025 | Aug 12, 2025 |
| Edmund Michael Haspett | Advice And Planning Services BD affiliated | Hsbc Securities (USA) Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 14, 2025 | Jul 24, 2025 |
| Kadeem Griffith | Advice And Planning Services BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 14, 2025 | Jul 17, 2025 |
| Fausto Steve Lopez | Advice And Planning Services BD affiliated | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Jul 7, 2025 | Aug 20, 2025 (44 d) |
| Jordan Johnson | Advice And Planning Services BD affiliated | Charles Schwab & Co., Inc. national BD | Affiliated broker-dealer or bank to another | Jul 7, 2025 | Aug 12, 2025 (36 d) |
| Jeffrey James Jordan | Advice And Planning Services BD affiliated | Mariner BD affiliated | Affiliated broker-dealer or bank to another | Jul 3, 2025 | Jul 22, 2025 |
| Salko Sipic | Advice And Planning Services BD affiliated | Schwab Wealth Advisory, Inc. no RAUM | Other | Jul 3, 2025 | Jul 29, 2025 |
| Paula Andrea Porras Gonzalez | Advice And Planning Services BD affiliated | Empower Advisory Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 3, 2025 | Mar 9, 2026 (249 d) |
| Lu Ann Hartley | Advice And Planning Services BD affiliated | Charles Schwab & Co., Inc. national BD | Affiliated broker-dealer or bank to another | Jul 3, 2025 | Oct 29, 2025 (118 d) |
| Donald David Delande | Advice And Planning Services BD affiliated | Ima Advisory Services, Inc. mixed wealth | Affiliated broker-dealer or bank to independent RIA | Jul 1, 2025 | Jul 15, 2025 |
| Nicholas Michael Luise | Advice And Planning Services BD affiliated | Empower Advisory Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 30, 2025 | Jul 28, 2025 |
| Matthew Martin Puttroff | Advice And Planning Services BD affiliated | Vanguard Advisers, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jun 23, 2025 | Jul 22, 2025 |
| David Ross Bowles | Advice And Planning Services BD affiliated | Principal Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jun 23, 2025 | Jul 1, 2025 |
| Melissa Lee Herbert | Advice And Planning Services BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Jun 23, 2025 | Aug 29, 2025 (67 d) |
| Tyler Venegas | Advice And Planning Services BD affiliated | Empower Advisory Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 23, 2025 | Oct 9, 2025 (108 d) |
| Brendan Christopher Thompson | Advice And Planning Services BD affiliated | Wealth Enhancement Advisory Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 18, 2025 | Jul 16, 2025 |
| Robert Lee Kidd | Advice And Planning Services BD affiliated | Vanguard Advisers, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jun 11, 2025 | Aug 12, 2025 (62 d) |
| Christopher Tammany Cuneo | Advice And Planning Services BD affiliated | LPL Enterprise, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 11, 2025 | Jul 21, 2025 (40 d) |
| Alexander Nicholas Cautela | Advice And Planning Services BD affiliated | Allspring Funds Management, LLC asset manager | Other | Jun 11, 2025 | Apr 1, 2026 (294 d) |
| Emily Heather Cutson | Advice And Planning Services BD affiliated | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Jun 10, 2025 | Aug 6, 2025 (57 d) |
| Odot Ikon Hodges | Advice And Planning Services BD affiliated | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Jun 9, 2025 | Jul 29, 2025 (50 d) |
| Gregory Klibanov | Advice And Planning Services BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 6, 2025 | Sep 8, 2025 (94 d) |
| Jonathan Michael Walls | Advice And Planning Services BD affiliated | Alight Financial Advisors, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 6, 2025 | Jul 3, 2025 |
| Estella Lee Taylor-Greene | Advice And Planning Services BD affiliated | Key Investment Services LLC BD affiliated | Affiliated broker-dealer or bank to another | May 31, 2025 | Aug 22, 2025 (83 d) |
| Keegan Glynn Sullivan | Advice And Planning Services BD affiliated | Chemistry Wealth Management LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | May 27, 2025 | Jun 12, 2025 |
| Margaret Webster | Advice And Planning Services BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | May 19, 2025 | Jun 16, 2025 |
| Colin Michael Smith | Advice And Planning Services BD affiliated | Vanguard Advisers, Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 19, 2025 | Jul 16, 2025 (58 d) |
| Michael Dean Dooley | Advice And Planning Services BD affiliated | Valic Financial Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 13, 2025 | May 12, 2025 |
| Nicholas Joseph Gagliardo | Advice And Planning Services BD affiliated | Raymond James & Associates, Inc. national BD | Affiliated broker-dealer or bank to another | May 9, 2025 | Jun 13, 2025 (35 d) |
| Zachary Robert Goreczny | Advice And Planning Services BD affiliated | Esi Financial Advisors independent RIA | Affiliated broker-dealer or bank to independent RIA | May 9, 2025 | Jun 5, 2025 |
| Karen Randy Filler | Advice And Planning Services BD affiliated | Legacy Edge Advisors independent RIA | Affiliated broker-dealer or bank to independent RIA | May 6, 2025 | Jun 5, 2025 |
| Kavondra Jeter | Advice And Planning Services BD affiliated | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | May 6, 2025 | Aug 13, 2025 (99 d) |
| Mitchell Scott Hutula | Advice And Planning Services BD affiliated | Raymond James & Associates, Inc. national BD | Affiliated broker-dealer or bank to another | May 5, 2025 | Dec 4, 2025 (213 d) |
| John William Morlock | Advice And Planning Services BD affiliated | Newedge Advisors BD affiliated | Affiliated broker-dealer or bank to another | May 2, 2025 | Jun 2, 2025 (31 d) |
| Nicholas Molite | Advice And Planning Services BD affiliated | Arkadios Wealth Advisors BD affiliated | Affiliated broker-dealer or bank to another | May 2, 2025 | Jun 24, 2025 (53 d) |
| Christopher Tolman | Advice And Planning Services BD affiliated | Fbl Wealth Management, LLC BD affiliated | Affiliated broker-dealer or bank to another | May 1, 2025 | Jun 30, 2025 (60 d) |
| Sean Oakes | Advice And Planning Services BD affiliated | Raymond James & Associates, Inc. national BD | Affiliated broker-dealer or bank to another | Apr 28, 2025 | Jul 28, 2025 (91 d) |
| Delfin Rosca Llamas | Advice And Planning Services BD affiliated | Vanguard Advisers, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 25, 2025 | Jul 22, 2025 (88 d) |
| Ryan Buckley Goss | Advice And Planning Services BD affiliated | MML Investors Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 25, 2025 | Sep 24, 2025 (152 d) |
| David Christopher Masias | Advice And Planning Services BD affiliated | Wealth Enhancement Advisory Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 25, 2025 | May 13, 2025 |
| William Clayton Payne | Advice And Planning Services BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Apr 11, 2025 | May 7, 2025 |
| David Matthew Croce | Advice And Planning Services BD affiliated | Quartz Partners Investment Management independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 9, 2025 | Sep 4, 2026 (513 d) |
| Steven Jenkins | Advice And Planning Services BD affiliated | Strategic Advisers LLC national BD | Affiliated broker-dealer or bank to another | Apr 3, 2025 | Aug 1, 2025 (120 d) |
| Daniel Kenneth Brackett | Advice And Planning Services BD affiliated | Focus Partners Wealth, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 3, 2025 | Apr 30, 2025 |
| William James Andrews | Advice And Planning Services BD affiliated | Strategic Advisers LLC national BD | Affiliated broker-dealer or bank to another | Apr 3, 2025 | Sep 8, 2025 (158 d) |
| Justin S Palett | Advice And Planning Services BD affiliated | Northwestern Mutual Investment Services,LLC no RAUM | Other | Apr 2, 2025 | May 8, 2025 (36 d) |
1,604 moves match.