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 |
|---|---|---|---|---|---|
| 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) |
| Byron Blaine | Advice And Planning Services BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Mar 27, 2025 | Apr 1, 2025 |
| Sean Thomas Johnson | Advice And Planning Services BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Mar 26, 2025 | Mar 25, 2025 |
| Raya Prabhakar Kulkarni | Advice And Planning Services BD affiliated | Creative Planning independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 17, 2025 | Mar 6, 2025 |
| Steven Ray Stanzyk | Advice And Planning Services BD affiliated | Empower Advisory Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Mar 17, 2025 | Apr 9, 2025 |
| Rohan Suresh Patel | Advice And Planning Services BD affiliated | Forvis Mazars Wealth Advisors, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 12, 2025 | Apr 2, 2025 |
| James Leon Pridgen | Advice And Planning Services BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Mar 12, 2025 | Apr 30, 2025 (49 d) |
| Adam James Woodworth | Advice And Planning Services BD affiliated | Colorado Financial Service Corporation other | Other | Mar 7, 2025 | Apr 2, 2025 |
| Martin Lee Vestel | Advice And Planning Services BD affiliated | Colorado Financial Service Corporation other | Other | Mar 7, 2025 | Jul 7, 2025 (122 d) |
| Jamin Larry Watson | Advice And Planning Services BD affiliated | Vanguard Advisers, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 5, 2025 | Mar 24, 2025 |
| Mark Wade Martin | Advice And Planning Services BD affiliated | First Citizens Investor Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 5, 2025 | Mar 18, 2025 |
| Keith Carpenter | Advice And Planning Services BD affiliated | Charles Schwab & Co., Inc. national BD | Affiliated broker-dealer or bank to another | Mar 5, 2025 | Apr 7, 2025 (33 d) |
| Amanda Memoli Durbiano | Advice And Planning Services BD affiliated | Wealth Enhancement Advisory Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Mar 4, 2025 | Mar 6, 2025 |
| Dagner Jorge Rivero | Advice And Planning Services BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Mar 3, 2025 | Mar 26, 2025 |
| Keisha Denice Mcgowens | Advice And Planning Services BD affiliated | Vanguard Advisers, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Feb 27, 2025 | Mar 25, 2025 |
| Janet L Kendall | Advice And Planning Services BD affiliated | Missionsquare Retirement BD affiliated | Affiliated broker-dealer or bank to another | Jan 31, 2025 | Sep 5, 2025 (217 d) |
| Rhonda Ward | Advice And Planning Services BD affiliated | Charles Schwab & Co., Inc. national BD | Affiliated broker-dealer or bank to another | Jan 31, 2025 | Mar 28, 2025 (56 d) |
| Richard Stephen Mullin | Advice And Planning Services BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 31, 2025 | Dec 10, 2025 (313 d) |
| Ernest Anthony Alexander | Advice And Planning Services BD affiliated | Vanguard Advisers, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jan 31, 2025 | Aug 27, 2026 (573 d) |
| Cheryl Jean Knight | Advice And Planning Services BD affiliated | LPL Enterprise, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 31, 2025 | May 28, 2025 (117 d) |
| Christopher Leo Arnold | Advice And Planning Services BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 31, 2025 | Jun 23, 2025 (143 d) |
| Sean Nathaniel Lawrence | Advice And Planning Services BD affiliated | Vanguard Advisers, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jan 31, 2025 | Jul 9, 2025 (159 d) |
| Calvin Lee Thompson | Advice And Planning Services BD affiliated | Vanguard Advisers, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jan 31, 2025 | May 7, 2025 (96 d) |
| Shawn Harris | Advice And Planning Services BD affiliated | Southstate Private Capital Management LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 31, 2025 | Jun 23, 2025 (143 d) |
| Kevin Wesley Hough | Advice And Planning Services BD affiliated | Strategic Advisers LLC national BD | Affiliated broker-dealer or bank to another | Jan 31, 2025 | May 12, 2025 (101 d) |
| Marc Wulf | Advice And Planning Services BD affiliated | Centaurus Financial, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jan 31, 2025 | Jun 5, 2025 (125 d) |
| Jason Casey | Advice And Planning Services BD affiliated | Empower Advisory Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 31, 2025 | Oct 24, 2025 (266 d) |
| Miranda Mchugh | Advice And Planning Services BD affiliated | Empower Advisory Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 31, 2025 | Sep 11, 2025 (223 d) |
| Fahad Jethwa | Advice And Planning Services BD affiliated | Edward Jones national BD | Affiliated broker-dealer or bank to another | Jan 31, 2025 | Mar 5, 2025 (33 d) |
| Jason Christopher Junkin | Advice And Planning Services BD affiliated | Strategic Advisers LLC national BD | Affiliated broker-dealer or bank to another | Jan 31, 2025 | May 22, 2026 (476 d) |
| Timothy Tubbs | Advice And Planning Services BD affiliated | Edward Jones national BD | Affiliated broker-dealer or bank to another | Jan 31, 2025 | Mar 28, 2025 (56 d) |
| Turkessa Amoah | Advice And Planning Services BD affiliated | Equitable Advisors, LLC national BD | Affiliated broker-dealer or bank to another | Jan 31, 2025 | Mar 7, 2025 (35 d) |
| Tonya Lee Bobbitt | Advice And Planning Services BD affiliated | Raymond James & Associates, Inc. national BD | Affiliated broker-dealer or bank to another | Jan 31, 2025 | Nov 28, 2025 (301 d) |
| Nicholas Paul Lehman | Advice And Planning Services BD affiliated | Spectrum Advisors, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 31, 2025 | Mar 21, 2025 (49 d) |
| Reynaldo Villanueva | Advice And Planning Services BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Jan 31, 2025 | May 16, 2025 (105 d) |
| Nathan J Garner | Advice And Planning Services BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Jan 31, 2025 | Oct 23, 2025 (265 d) |
| Panagiotis Andrianakos | Advice And Planning Services BD affiliated | Schwab Wealth Advisory, Inc. no RAUM | Other | Jan 31, 2025 | Jun 10, 2025 (130 d) |
| Adam Douglas Satterfield | Advice And Planning Services BD affiliated | Empower Advisory Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 31, 2025 | Mar 13, 2025 (41 d) |
| Clayton Dean Kent | Advice And Planning Services BD affiliated | Fisher Investments independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 31, 2025 | Apr 16, 2025 (75 d) |
| Patrick Duffy | Advice And Planning Services BD affiliated | Equitable Advisors, LLC national BD | Affiliated broker-dealer or bank to another | Jan 28, 2025 | Apr 7, 2026 (434 d) |
| Katherine Ryan | Advice And Planning Services BD affiliated | Wealth Enhancement Advisory Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 27, 2025 | Sep 18, 2025 (234 d) |
| Kimberly Shocklee | Advice And Planning Services BD affiliated | Edward Jones national BD | Affiliated broker-dealer or bank to another | Jan 24, 2025 | Feb 28, 2025 (35 d) |
| Jorge Mario Espinoza | Advice And Planning Services BD affiliated | Ally Invest Advisors independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 21, 2025 | Feb 11, 2025 |
| Gary Michael Willcox | Advice And Planning Services BD affiliated | Equitable Advisors, LLC national BD | Affiliated broker-dealer or bank to another | Jan 15, 2025 | Feb 13, 2025 |
| Phillip Earl Campit | Advice And Planning Services BD affiliated | Summitry, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 14, 2025 | Feb 4, 2025 |
| Ryan Walter Carlin | Advice And Planning Services BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 6, 2025 | Oct 27, 2025 (294 d) |
| Tamir Hornesby | Advice And Planning Services BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Jan 6, 2025 | Sep 23, 2025 (260 d) |
| Robert Brian Ferreira | Advice And Planning Services BD affiliated | Lincoln Investment independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 6, 2025 | Jan 31, 2025 |
| Tyler Lee Hembree | Advice And Planning Services BD affiliated | Fisher Investments independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 2, 2025 | Jan 22, 2025 |
| Fred Wayne Kauffman | Advice And Planning Services BD affiliated | Vanguard Advisers, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Dec 26, 2024 | Mar 10, 2025 (74 d) |
| Lamont Nicholas Corprew | Advice And Planning Services BD affiliated | Raymond James & Associates, Inc. national BD | Affiliated broker-dealer or bank to another | Dec 24, 2024 | Apr 1, 2025 (98 d) |
| Mark Robert Calaci | Advice And Planning Services BD affiliated | Principal Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Dec 17, 2024 | Dec 16, 2024 |
| Ryan Overton | Advice And Planning Services BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Dec 17, 2024 | Dec 16, 2024 |
| Christian Thomas Vanhoose | Advice And Planning Services BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Dec 17, 2024 | Jan 18, 2025 (32 d) |
| Stephen William Marcou | Advice And Planning Services BD affiliated | Savvy independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 4, 2024 | Jan 23, 2025 (50 d) |
| Timothy Alston | Advice And Planning Services BD affiliated | Td Private Client Wealth LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 19, 2024 | Aug 11, 2026 (630 d) |
| Edward Allen Dingess | Advice And Planning Services BD affiliated | Vanguard Advisers, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 5, 2024 | Apr 11, 2025 (157 d) |
| Adunni Covington | Advice And Planning Services BD affiliated | Eagle Strategies LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 5, 2024 | Jul 23, 2025 (260 d) |
| Breshell Ellyne Moore | Advice And Planning Services BD affiliated | Raymond James & Associates, Inc. national BD | Affiliated broker-dealer or bank to another | Nov 4, 2024 | Dec 20, 2024 (46 d) |
| Gregory Scott Vezzosi | Advice And Planning Services BD affiliated | Bna Wealth independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 4, 2024 | Nov 29, 2024 |
1,605 moves match.