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 |
|---|---|---|---|---|---|
| Eric Emerson Udvari | Advice And Planning Services BD affiliated | Howe And Rusling, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 16, 2021 | Sep 27, 2021 (73 d) |
| Athishay Gangadharan | Advice And Planning Services BD affiliated | Kestra Private Wealth Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 14, 2021 | Aug 12, 2021 |
| Robert Paul Marronaro | Advice And Planning Services BD affiliated | Wealthshield Partners, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 13, 2021 | Aug 17, 2021 (35 d) |
| Howard G Reizun | Advice And Planning Services BD affiliated | Kestra Private Wealth Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 13, 2021 | Aug 12, 2021 |
| Alexander Munib Richani | Advice And Planning Services BD affiliated | Woodward Financial Advisors, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 28, 2021 | Sep 7, 2021 (71 d) |
| Michael Edward Beck | Advice And Planning Services BD affiliated | Charles Schwab & Co., Inc. national BD | Affiliated broker-dealer or bank to another | Jun 22, 2021 | Oct 5, 2021 (105 d) |
| Mark Brian Digiovanni | Advice And Planning Services BD affiliated | Edelman Financial Engines mixed wealth | Affiliated broker-dealer or bank to independent RIA | Jun 21, 2021 | Jun 28, 2021 |
| Adrian Deluren Garcia | Advice And Planning Services BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Jun 9, 2021 | Nov 2, 2021 (146 d) |
| William Joseph Gamblin | Advice And Planning Services BD affiliated | Mariner BD affiliated | Affiliated broker-dealer or bank to another | Jun 2, 2021 | Jun 22, 2021 |
| Jayme Ann Cross | Advice And Planning Services BD affiliated | Schwab Wealth Advisory, Inc. no RAUM | Other | May 27, 2021 | Jan 29, 2022 (247 d) |
| Corina Parmenter | Advice And Planning Services BD affiliated | Nuveen Asset Management, LLC other | Other | May 27, 2021 | Nov 29, 2021 (186 d) |
| Elizabeth K. Brown | Advice And Planning Services BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | May 19, 2021 | Jul 24, 2021 (66 d) |
| Elizabeth Goins | Advice And Planning Services BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | May 7, 2021 | Jan 13, 2022 (251 d) |
| Zakariaa Bousfiha | Advice And Planning Services BD affiliated | Charles Schwab & Co., Inc. national BD | Affiliated broker-dealer or bank to another | May 3, 2021 | Jun 29, 2021 (57 d) |
| Ryan Ramadan | Advice And Planning Services BD affiliated | Charles Schwab & Co., Inc. national BD | Affiliated broker-dealer or bank to another | Apr 30, 2021 | Jun 4, 2021 (35 d) |
| Brandon Michael Shephard | Advice And Planning Services BD affiliated | Ally Invest Advisors independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 30, 2021 | Aug 17, 2021 (109 d) |
| Brian Ablutz | Advice And Planning Services BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Apr 20, 2021 | Sep 2, 2021 (135 d) |
| Shane Cole | Advice And Planning Services BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Apr 20, 2021 | Aug 13, 2021 (115 d) |
| Michael David Segalo | Advice And Planning Services BD affiliated | Creative Planning independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 14, 2021 | Apr 13, 2021 |
| David Patrick Reilly | Advice And Planning Services BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Apr 14, 2021 | Jun 22, 2021 (69 d) |
| Amy Lynn Podzius | Advice And Planning Services BD affiliated | Pruco Securities, LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 13, 2021 | Jun 29, 2021 (77 d) |
| Lisa Adamonis Pile | Advice And Planning Services BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Apr 13, 2021 | Apr 15, 2021 |
| Tatiana Novozhilova | Advice And Planning Services BD affiliated | Neuberger Berman Bd LLC no RAUM | Other | Apr 12, 2021 | May 11, 2021 |
| Robert Francis Rom | Advice And Planning Services BD affiliated | Newedge Advisors BD affiliated | Affiliated broker-dealer or bank to another | Apr 9, 2021 | Apr 5, 2021 |
| Scott Jason Israel | Advice And Planning Services BD affiliated | Newedge Advisors BD affiliated | Affiliated broker-dealer or bank to another | Apr 9, 2021 | Apr 6, 2021 |
| Brian Todd Fox | Advice And Planning Services BD affiliated | Empower Advisory Group, LLC other | Other | Apr 9, 2021 | Apr 16, 2021 |
| Christopher Michael Ingemie | Advice And Planning Services BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Apr 9, 2021 | Apr 8, 2021 |
| Christopher William Grasmick | Advice And Planning Services BD affiliated | Vickerman Investment Advisors, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 7, 2021 | Jul 19, 2021 (103 d) |
| Siegfreid Baterina Lauren | Advice And Planning Services BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Apr 1, 2021 | Sep 8, 2021 (160 d) |
| Sheila Tuttle Cimini | Advice And Planning Services BD affiliated | One Capital Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 24, 2021 | Mar 19, 2021 |
| Chad Michael Kessler | Advice And Planning Services BD affiliated | One Capital Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 24, 2021 | Mar 22, 2021 |
| Dan Loren Kronmal | Advice And Planning Services BD affiliated | Mariner BD affiliated | Affiliated broker-dealer or bank to another | Mar 24, 2021 | Apr 19, 2021 |
| Danielle Carlotta Alcide | Advice And Planning Services BD affiliated | Facet independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 17, 2021 | Apr 12, 2021 |
| Theresa Ann Bilello | Advice And Planning Services BD affiliated | Newedge Advisors BD affiliated | Affiliated broker-dealer or bank to another | Mar 8, 2021 | Apr 6, 2021 |
| Michael Philipp Mayer | Advice And Planning Services BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Mar 8, 2021 | Jun 16, 2021 (100 d) |
| Mitchell Mccoy Falter | Advice And Planning Services BD affiliated | Reframe Wealth, LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Mar 4, 2021 | Apr 2, 2021 |
| Adam C House | Advice And Planning Services BD affiliated | Ach Wealth Management unclassified | Other | Mar 4, 2021 | Oct 7, 2021 (217 d) |
| Jacob Robert Goddard | Advice And Planning Services BD affiliated | Mariner BD affiliated | Affiliated broker-dealer or bank to another | Mar 4, 2021 | Mar 31, 2021 |
| Jessica Lauren Doll | Advice And Planning Services BD affiliated | Reframe Wealth, LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Mar 4, 2021 | Apr 2, 2021 |
| Devin Scott Heitman | Advice And Planning Services BD affiliated | Charles Schwab & Co., Inc. national BD | Affiliated broker-dealer or bank to another | Mar 4, 2021 | Jun 28, 2021 (116 d) |
| Bradley James Ferrell | Advice And Planning Services BD affiliated | Osaic Fa, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 4, 2021 | Mar 29, 2021 |
| Max Johann Rooney | Advice And Planning Services BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Mar 3, 2021 | Apr 20, 2021 (48 d) |
| Kevin D Millard | Advice And Planning Services BD affiliated | Stratos Wealth Advisors LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 3, 2021 | Mar 29, 2021 |
| Thomas Christopher Massie | Advice And Planning Services BD affiliated | Reframe Wealth, LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Mar 3, 2021 | Apr 2, 2021 |
| Jon Erik Huffman | Advice And Planning Services BD affiliated | Equitable Advisors, LLC national BD | Affiliated broker-dealer or bank to another | Mar 2, 2021 | Apr 1, 2021 |
| Michael Sung Ma | Advice And Planning Services BD affiliated | Stratos Wealth Advisors LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 2, 2021 | Mar 29, 2021 |
| Jennifer Nicole Ross | Advice And Planning Services BD affiliated | Equitable Advisors, LLC national BD | Affiliated broker-dealer or bank to another | Mar 2, 2021 | Apr 1, 2021 |
| Stephen Franklin Whitley | Advice And Planning Services BD affiliated | Creative Planning independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 1, 2021 | Mar 30, 2021 |
| Brendan Corey Hefter | Advice And Planning Services BD affiliated | Schwab Wealth Advisory, Inc. no RAUM | Other | Jan 25, 2021 | Mar 2, 2021 (36 d) |
| Justin Jeffrey Sheik | Advice And Planning Services BD affiliated | First Citizens Investor Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jan 15, 2021 | Mar 2, 2021 (46 d) |
| Mark Schechter | Advice And Planning Services BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Jan 14, 2021 | Mar 2, 2021 (47 d) |
| Christopher Chinn | Advice And Planning Services BD affiliated | Nuveen Asset Management, LLC mixed wealth | Affiliated broker-dealer or bank to independent RIA | Jan 6, 2021 | Feb 19, 2021 (44 d) |
| John Ronald Kahle | Advice And Planning Services BD affiliated | Cgn Advisors, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 22, 2020 | Jan 15, 2021 |
| Joesette Faith Schmitz | Advice And Planning Services BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 22, 2020 | Sep 23, 2021 (275 d) |
| Russell Quentin Stewart | Advice And Planning Services BD affiliated | Nuveen Asset Management, LLC mixed wealth | Affiliated broker-dealer or bank to independent RIA | Dec 22, 2020 | Jan 7, 2021 |
| Joseph Carmine Picarello | Advice And Planning Services BD affiliated | Primerica Advisors national BD | Affiliated broker-dealer or bank to another | Dec 22, 2020 | Mar 9, 2022 (442 d) |
| Ruth Ann Dimmett | Advice And Planning Services BD affiliated | Alight Financial Advisors, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 18, 2020 | Jun 10, 2021 (174 d) |
| Michael Min Kyul Jin | Advice And Planning Services BD affiliated | Fisher Investments independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 9, 2020 | Dec 23, 2020 |
| Kent Michael Weilage | Advice And Planning Services BD affiliated | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Dec 4, 2020 | Feb 8, 2021 (66 d) |
| Anthony Rossi | Advice And Planning Services BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Dec 3, 2020 | May 21, 2021 (169 d) |