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
Arrivals at Financial Plan, Inc.
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 |
|---|---|---|---|---|---|
| Quinn Thomas Vicars | Kestra Advisory Services, LLC BD affiliated | Financial Plan, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 18, 2025 | Mar 20, 2026 (92 d) |
| Lydia Chung Lok | Trinity Legacy Partners, LLC independent RIA | Financial Plan, Inc. independent RIA | RIA to RIA | Aug 11, 2025 | Jun 5, 2026 (298 d) |
| James Barber Twining | LPL Financial LLC other | Financial Plan, Inc. other | Other | Mar 15, 2012 | Aug 13, 1997 |
| David Alden Dick | LPL Financial LLC other | Financial Plan, Inc. other | Other | Mar 15, 2012 | Mar 7, 2003 |
| William Devin Wolf | LPL Financial LLC other | Financial Plan, Inc. other | Other | Mar 15, 2012 | Aug 23, 2010 |
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5 moves match.