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 LPL Financial LLC
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 |
|---|---|---|---|---|---|
| Jeffrey Paul Little | LPL Financial LLC BD affiliated | Pnc Wealth Management BD affiliated | Affiliated broker-dealer or bank to another | Jul 31, 2026 | Jul 16, 2026 |
| Laura Scheppele | LPL Financial LLC BD affiliated | Bankers Life Advisory Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 31, 2026 | Aug 6, 2026 |
| Richard Paul Pucci | LPL Financial LLC BD affiliated | Maridea Wealth Management independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 30, 2026 | Jul 17, 2026 |
| Amanda Marie Duran | LPL Financial LLC BD affiliated | Osaic Wealth, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 30, 2026 | Sep 3, 2026 (35 d) |
| Kathryn Marie Baness | LPL Financial LLC BD affiliated | Thrivent Investment Management Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 30, 2026 | Aug 3, 2026 |
| Timothy Mark Weishorn | LPL Financial LLC BD affiliated | Raymond James Financial Services Advisors, Inc BD affiliated | Affiliated broker-dealer or bank to another | Jul 29, 2026 | Jul 30, 2026 |
| Anthony Todd Jones | LPL Financial LLC BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Jul 29, 2026 | Jul 13, 2026 |
| Pastor Fuster | LPL Financial LLC BD affiliated | Fuster Financial Group state registered | Affiliated broker-dealer or bank to a state-registered adviser | Jul 29, 2026 | Jul 10, 2026 |
| Nathan Theroux | LPL Financial LLC BD affiliated | Td Private Client Wealth LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 27, 2026 | Jul 20, 2026 |
| Nathan Dwayne Roberts | LPL Financial LLC BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 25, 2026 | Jul 1, 2026 |
| Donald G. Chastain | LPL Financial LLC BD affiliated | Invista Advisors no RAUM | Other | Jul 24, 2026 | Jul 7, 2016 |
| Todd Sterling Wright | LPL Financial LLC BD affiliated | Onedigital institutional | Other | Jul 24, 2026 | Jul 13, 2026 |
| Andrew Richard Harpp | LPL Financial LLC BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Jul 24, 2026 | Sep 18, 2026 (56 d) |
| Shawn Michael Steffee | LPL Financial LLC BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Jul 24, 2026 | Jul 15, 2026 |
| Jacob C Jones | LPL Financial LLC BD affiliated | 755 Financial no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Jul 24, 2026 | Jul 13, 2026 |
| Matthew S Aber | LPL Financial LLC BD affiliated | Citigroup Global Markets Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 24, 2026 | Jul 16, 2026 |
| Benjamin Whitney Stevens | LPL Financial LLC BD affiliated | The Genesis Financial Planning Group, L.L.C. unclassified | Other | Jul 23, 2026 | Mar 10, 2004 |
| Brian Scott Linde | LPL Financial LLC BD affiliated | United Planners' Financial Services Of America A Limited Partner independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 23, 2026 | Jul 28, 2026 |
| David M Woldman | LPL Financial LLC BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 23, 2026 | Jul 1, 2026 |
| Eric Lance Guetterman | LPL Financial LLC BD affiliated | Trajan Wealth, L.L.C. independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 23, 2026 | Jul 27, 2026 |
| Sheryll Gianino | LPL Financial LLC BD affiliated | Commonwealth Financial Network national BD | Affiliated broker-dealer or bank to another | Jul 23, 2026 | Jul 24, 2026 |
| Thomas Cahill | LPL Financial LLC BD affiliated | Edward Jones national BD | Affiliated broker-dealer or bank to another | Jul 23, 2026 | Aug 3, 2026 |
| Michael Louis Darby | LPL Financial LLC BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Jul 22, 2026 | Jul 6, 2026 |
| Robert Vernon Riley | LPL Financial LLC BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Jul 22, 2026 | Jul 7, 2026 |
| Robert Bradford Davis | LPL Financial LLC BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 22, 2026 | Aug 4, 2026 |
| Christen Riley Mitchell | LPL Financial LLC BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Jul 22, 2026 | Jul 7, 2026 |
| Jacob Daniel Wilson | LPL Financial LLC BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Jul 22, 2026 | Jul 6, 2026 |
| Robert Philip Riley | LPL Financial LLC BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Jul 22, 2026 | Jul 7, 2026 |
| Heather Pape | LPL Financial LLC BD affiliated | Schwab Wealth Advisory, Inc. no RAUM | Other | Jul 22, 2026 | Jul 25, 2026 |
| Michael Fredrick Bogden | LPL Financial LLC BD affiliated | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Jul 21, 2026 | Jul 13, 2026 |
| Vincent Girard Perfetto | LPL Financial LLC BD affiliated | Potomac asset manager | Other | Jul 21, 2026 | Jul 23, 2026 |
| Katherine Elizabeth Thomas | LPL Financial LLC BD affiliated | Schwab Wealth Advisory, Inc. no RAUM | Other | Jul 20, 2026 | Jul 29, 2026 |
| Aaron Elkins | LPL Financial LLC BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Jul 17, 2026 | Jun 18, 2026 |
| Eric Dana Mosser | LPL Financial LLC BD affiliated | West Wealth Group, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 16, 2026 | Jul 22, 2026 |
| Natalie Yvonne Yaksick | LPL Financial LLC BD affiliated | Integrity Alliance, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 15, 2026 | Jul 7, 2026 |
| Christen Lee Sanchez | LPL Financial LLC BD affiliated | Sanchez Wealth Management Group, LLC no RAUM | Other | Jul 14, 2026 | Nov 22, 2013 |
| Dawn Sanchez Nicoles | LPL Financial LLC BD affiliated | Modern Wealth Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 14, 2026 | Aug 28, 2026 (45 d) |
| Scotty V Dean | LPL Financial LLC BD affiliated | Dean Davis Wealth LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Jul 14, 2026 | Jul 1, 2026 |
| Francis St Amand | LPL Financial LLC BD affiliated | The Life Wealth Group independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 14, 2026 | Jul 14, 2026 |
| Christopher Leigh Pedde | LPL Financial LLC BD affiliated | Principal Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 14, 2026 | Jul 15, 2026 |
| Connor Randolph Jones | LPL Financial LLC BD affiliated | Mercer Global Advisors Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 14, 2026 | Jul 10, 2026 |
| Chad Michael Backes | LPL Financial LLC BD affiliated | Osaic Institutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 13, 2026 | Jul 13, 2026 |
| Matthew Lawrence Darpel | LPL Financial LLC BD affiliated | Robert W. Baird & Co. Incorporated mixed wealth | Affiliated broker-dealer or bank to independent RIA | Jul 13, 2026 | Aug 13, 2026 (31 d) |
| Benjamin Alvis Gentry | LPL Financial LLC BD affiliated | Edward Jones national BD | Affiliated broker-dealer or bank to another | Jul 13, 2026 | Jul 31, 2026 |
| Heitor Caballero | LPL Financial LLC BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Jul 13, 2026 | Jun 26, 2026 |
| John Vincent Caggiano | LPL Financial LLC BD affiliated | Northeast Planning Associates, Inc. other | Other | Jul 10, 2026 | Jan 28, 2009 |
| Brian Patrick Corbett | LPL Financial LLC BD affiliated | First Citizens Investor Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 10, 2026 | Jul 16, 2026 |
| Anthony Joseph Truino | LPL Financial LLC BD affiliated | Twenty Four Wealth no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Jul 10, 2026 | Aug 31, 2026 (52 d) |
| James Ellis Cahn | LPL Financial LLC BD affiliated | Twenty Four Wealth no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Jul 10, 2026 | Aug 31, 2026 (52 d) |
| Michael J Carbino | LPL Financial LLC BD affiliated | Stratos Wealth Partners, Ltd independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 10, 2026 | Dec 13, 2019 |
| Jennifer Lynne Tarantino | LPL Financial LLC BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Jul 10, 2026 | Jun 23, 2026 |
| Steven P Deckard | LPL Financial LLC BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 10, 2026 | Jun 22, 2026 |
| Christopher Zapata | LPL Financial LLC BD affiliated | Twenty Four Wealth no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Jul 10, 2026 | Aug 31, 2026 (52 d) |
| Christian Nicholas Giannangeli | LPL Financial LLC BD affiliated | Savvy independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 10, 2026 | Jun 30, 2026 |
| John Anthony Tarantino | LPL Financial LLC BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Jul 10, 2026 | Jun 23, 2026 |
| Jonathan Ewart | LPL Financial LLC BD affiliated | Osaic Wealth, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 10, 2026 | Jul 15, 2026 |
| Vicki Andrews | LPL Financial LLC BD affiliated | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Jul 9, 2026 | Jun 16, 2026 |
| Jonathan Dorsey | LPL Financial LLC BD affiliated | Vandalia Wealth no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Jul 9, 2026 | Jun 15, 2026 |
| Michele Kristine Dunbar | LPL Financial LLC BD affiliated | Dunbar Associates, LLC mixed wealth | Affiliated broker-dealer or bank to independent RIA | Jul 9, 2026 | Jul 6, 2026 |
| Kristen Elizabeth Dealy | LPL Financial LLC BD affiliated | Santa Barbara Management independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 9, 2026 | May 28, 2026 |
11,276 moves match.