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 |
|---|---|---|---|---|---|
| William John Dwyer | Advice And Planning Services BD affiliated | Seaport Financial Education LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Nov 1, 2024 | Mar 21, 2025 (140 d) |
| Jose Antonio Martinez | Advice And Planning Services BD affiliated | Td Private Client Wealth LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 28, 2024 | Nov 12, 2024 |
| Christopher John Frey | Advice And Planning Services BD affiliated | Wambolt & Associates, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 28, 2024 | Nov 15, 2024 |
| Ricki Lyn Wrigley | Advice And Planning Services BD affiliated | Empower Advisory Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 28, 2024 | Nov 6, 2024 |
| Robert William Burger | Advice And Planning Services BD affiliated | Nuveen Asset Management, LLC mixed wealth | Affiliated broker-dealer or bank to independent RIA | Oct 25, 2024 | Mar 6, 2025 (132 d) |
| Benjamin Wade Beatty | Advice And Planning Services BD affiliated | Empower Advisory Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 21, 2024 | Nov 5, 2024 |
| Maria Alicia Luoni | Advice And Planning Services BD affiliated | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Oct 14, 2024 | Feb 27, 2025 (136 d) |
| Stacey Pickard | Advice And Planning Services BD affiliated | Strategic Advisers LLC national BD | Affiliated broker-dealer or bank to another | Oct 14, 2024 | Aug 26, 2025 (316 d) |
| Rachel Lauren Loiko | Advice And Planning Services BD affiliated | Dimensional Fund Advisors LP asset manager | Other | Oct 14, 2024 | Jan 17, 2025 (95 d) |
| Jarrett Webb Sparks | Advice And Planning Services BD affiliated | Vanguard Advisers, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Oct 14, 2024 | Dec 13, 2024 (60 d) |
| Justine Chin Walker | Advice And Planning Services BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 14, 2024 | May 19, 2025 (217 d) |
| Jessica Rhae Gerdes | Advice And Planning Services BD affiliated | Empower Advisory Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 1, 2024 | Oct 4, 2024 |
| Bridget Franke | Advice And Planning Services BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Oct 1, 2024 | Nov 18, 2024 (48 d) |
| Lynwood Leroy Hill | Advice And Planning Services BD affiliated | Missionsquare Retirement institutional | Other | Sep 30, 2024 | Oct 23, 2024 |
| Virginia Ann Copley | Advice And Planning Services BD affiliated | Huntington Financial Advisors BD affiliated | Affiliated broker-dealer or bank to another | Sep 30, 2024 | Nov 21, 2024 (52 d) |
| Matthew Baird Rice | Advice And Planning Services BD affiliated | Ima Advisory Services, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 18, 2024 | Oct 3, 2024 |
| Adam Kevin Foster | Advice And Planning Services BD affiliated | Schwab Wealth Advisory, Inc. no RAUM | Other | Sep 9, 2024 | Sep 19, 2024 |
| Peter M. Mayo | Advice And Planning Services BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Sep 3, 2024 | Sep 25, 2024 |
| Yair Juventino Garcia | Advice And Planning Services BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Aug 28, 2024 | Sep 12, 2024 |
| Craig Terence Gorden | Advice And Planning Services BD affiliated | Schwab Wealth Advisory, Inc. no RAUM | Other | Aug 28, 2024 | Oct 24, 2024 (57 d) |
| Stephan Marcus House | Advice And Planning Services BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Aug 26, 2024 | Aug 12, 2025 (351 d) |
| Bethany Clayton Beckner | Advice And Planning Services BD affiliated | Principal Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 26, 2024 | Oct 24, 2024 (59 d) |
| Dominic Ross | Advice And Planning Services BD affiliated | Allworth Financial, L.P. BD affiliated | Affiliated broker-dealer or bank to another | Aug 20, 2024 | Aug 23, 2024 |
| Dennis Michael Sexton | Advice And Planning Services BD affiliated | Cuso Financial Services, L.P. BD affiliated | Affiliated broker-dealer or bank to another | Aug 17, 2024 | Apr 3, 2025 (229 d) |
| Todd Vernon Chaney | Advice And Planning Services BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Aug 14, 2024 | Sep 13, 2024 |
| Julie Delynn Hanson | Advice And Planning Services BD affiliated | Onedigital institutional | Other | Aug 2, 2024 | Aug 9, 2024 |
| Katrena Boujai Shipp | Advice And Planning Services BD affiliated | Maridea Wealth Management independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 30, 2024 | Nov 1, 2024 (94 d) |
| Jose Rafael Matias | Advice And Planning Services BD affiliated | Citizens Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 30, 2024 | Sep 26, 2024 (58 d) |
| Mario Dont'A Rudolph | Advice And Planning Services BD affiliated | Vanguard Advisers, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 30, 2024 | Apr 8, 2025 (252 d) |
| Daniel Matthew Moore | Advice And Planning Services BD affiliated | Savvy independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 26, 2024 | Aug 23, 2024 |
| Charles Davis Dawkins | Advice And Planning Services BD affiliated | Transamerica Retirement Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 16, 2024 | Aug 8, 2024 |
| Garrett Lucchesi | Advice And Planning Services BD affiliated | Charles Schwab & Co., Inc. national BD | Affiliated broker-dealer or bank to another | Jul 9, 2024 | Jul 26, 2024 |
| Chad Cook | Advice And Planning Services BD affiliated | Wealth Enhancement Advisory Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 3, 2024 | Mar 4, 2025 (244 d) |
| Alexander Dylan Cuthbertson | Advice And Planning Services BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Jun 24, 2024 | Aug 26, 2025 (428 d) |
| Kenneth David Denicolo | Advice And Planning Services BD affiliated | Legacy Edge Advisors independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 17, 2024 | Jul 23, 2024 (36 d) |
| Jason Douglas Kirk | Advice And Planning Services BD affiliated | Valic Financial Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jun 12, 2024 | Aug 13, 2024 (62 d) |
| Mark Ernst | Advice And Planning Services BD affiliated | First Command Advisory Services BD affiliated | Affiliated broker-dealer or bank to another | Jun 12, 2024 | Jul 30, 2024 (48 d) |
| Sotir Cikopana | Advice And Planning Services BD affiliated | Edward Jones national BD | Affiliated broker-dealer or bank to another | Jun 12, 2024 | Sep 20, 2024 (100 d) |
| Jonathan Dicent | Advice And Planning Services BD affiliated | LPL Enterprise, LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Jun 10, 2024 | Mar 19, 2025 (282 d) |
| Pamela Denise Montgomery | Advice And Planning Services BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 5, 2024 | May 6, 2025 (335 d) |
| Lucas Adam Schneider | Advice And Planning Services BD affiliated | Robert W. Baird & Co. Incorporated mixed wealth | Affiliated broker-dealer or bank to independent RIA | Jun 5, 2024 | Jun 18, 2024 |
| Lawrence Alexander Oakley | Advice And Planning Services BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | May 31, 2024 | Jun 12, 2024 |
| Christopher Jason Farmer | Advice And Planning Services BD affiliated | Vanderbilt Advisory Services BD affiliated | Affiliated broker-dealer or bank to another | May 30, 2024 | Jul 15, 2024 (46 d) |
| Charles Russell Hawes | Advice And Planning Services BD affiliated | Legacy Edge Advisors independent RIA | Affiliated broker-dealer or bank to independent RIA | May 29, 2024 | Jun 24, 2024 |
| Vyacheslav Kuzmin | Advice And Planning Services BD affiliated | Raymond James & Associates, Inc. national BD | Affiliated broker-dealer or bank to another | May 20, 2024 | Jun 17, 2024 |
| Jonathan Samuel Sharpe | Advice And Planning Services BD affiliated | Adhesion Wealth Advisor Solutions asset manager | Other | May 13, 2024 | May 28, 2024 |
| Jonathan Paul Larue | Advice And Planning Services BD affiliated | Raymond James & Associates, Inc. national BD | Affiliated broker-dealer or bank to another | May 10, 2024 | Jun 10, 2024 (31 d) |
| Achu Tambi Akum | Advice And Planning Services BD affiliated | MML Investors Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | May 10, 2024 | Feb 28, 2025 (294 d) |
| Mark St. Patrick Oliver | Advice And Planning Services BD affiliated | Ameritas Advisory Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | May 7, 2024 | Nov 1, 2024 (178 d) |
| Anthony Stanley Biasiotta | Advice And Planning Services BD affiliated | Fidato Wealth LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | May 7, 2024 | Feb 19, 2025 (288 d) |
| Ryan R Claar | Advice And Planning Services BD affiliated | Gwn Securities Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 2, 2024 | Jul 16, 2026 (805 d) |
| James Anthony Cerefice | Advice And Planning Services BD affiliated | Td Private Client Wealth LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 29, 2024 | Aug 26, 2026 (849 d) |
| Brandon Scott Crider | Advice And Planning Services BD affiliated | UBS Financial Services Inc. wirehouse | Affiliated broker-dealer or bank to wirehouse | Apr 29, 2024 | May 8, 2024 |
| Turner Carey Lang | Advice And Planning Services BD affiliated | Empower Advisory Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 22, 2024 | May 3, 2024 |
| Daniel Danilovich Lewis | Advice And Planning Services BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Apr 22, 2024 | May 14, 2024 |
| Mark Tincher | Advice And Planning Services BD affiliated | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Apr 19, 2024 | Dec 19, 2024 (244 d) |
| Sherri Jannise | Advice And Planning Services BD affiliated | First Command Advisory Services BD affiliated | Affiliated broker-dealer or bank to another | Apr 15, 2024 | May 1, 2024 |
| William Lee Reaves | Advice And Planning Services BD affiliated | Bok Financial Advisors BD affiliated | Affiliated broker-dealer or bank to another | Apr 8, 2024 | Apr 10, 2024 |
| Stephen Matthew Dungy | Advice And Planning Services BD affiliated | Empower Advisory Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 4, 2024 | May 2, 2024 |
| Zhuowei Xu | Advice And Planning Services BD affiliated | Thrivent Investment Management Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 4, 2024 | Jan 30, 2025 (301 d) |
1,605 moves match.