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 teams

Teams that left Advice And Planning Services

A team is two or more advisors whose registrations through one firm ended within fourteen days of each other, from branches in the same state, and who all registered next through the same other firm. The rule reads registration dates on IAPD and nothing else: no press, no name matching, no judgment about why. When the cluster carried half or more of the firm it left, or the destination filed a succession naming it, it is typed firm absorbed rather than lift-out. When the two CRDs are one enterprise (the same business name, as with the two Wells Fargo Advisors channels, the same 75%+ owner on both Schedule As around the move, or one name the other with a word added) it is a channel change, listed only when asked for and never counted as a team in or out. Corporate re-registrations (hundreds of people moved to a new CRD in one month) are excluded before teams are formed.

Advisors	From	To	Branch	Type	Left
2	Advice And Planning Services BD affiliated	Legacy Edge Advisors independent RIA	Sarver, Pa +1	Affiliated broker-dealer or bank to independent RIA	May 11, 2026
2	Advice And Planning Services BD affiliated	Newedge Advisors BD affiliated	Amesbury, Ma +1	Affiliated broker-dealer or bank to another	Mar 18, 2026 over 12 d
2	Advice And Planning Services BD affiliated	One Capital Management, LLC independent RIA	Austin, Tx +1	Affiliated broker-dealer or bank to independent RIA	Mar 11, 2026 over 12 d
2	Advice And Planning Services BD affiliated	Vanguard Advisers, Inc. BD affiliated	Kannapolis, Nc +1	Affiliated broker-dealer or bank to another	Jan 2, 2026
5	Advice And Planning Services BD affiliated	One Capital Management, LLC independent RIA	Roswell, Ga +3	Affiliated broker-dealer or bank to independent RIA	Dec 23, 2025 over 10 d
2	Advice And Planning Services BD affiliated	One Capital Management, LLC independent RIA	Littleton, Co +1	Affiliated broker-dealer or bank to independent RIA	Sep 10, 2025 over 7 d
3	Advice And Planning Services BD affiliated	One Capital Management, LLC independent RIA	Sherman Oaks, Ca +2	Affiliated broker-dealer or bank to independent RIA	Aug 4, 2025 over 4 d
2	Advice And Planning Services BD affiliated	One Capital Management, LLC independent RIA	Denver, Co +1	Affiliated broker-dealer or bank to independent RIA	Aug 4, 2025
2	Advice And Planning Services BD affiliated	Colorado Financial Service Corporation other	Englewood, Co +1	Other	Mar 7, 2025
2	Advice And Planning Services BD affiliated	Vanguard Advisers, Inc. BD affiliated	Concord, Nc +1	Affiliated broker-dealer or bank to another	Feb 27, 2025 over 6 d
2	Advice And Planning Services BD affiliated	Strategic Advisers LLC national BD	Frisco, Tx	Affiliated broker-dealer or bank to another	Jan 31, 2025
2	Advice And Planning Services BD affiliated	Vanguard Advisers, Inc. BD affiliated	Charlotte, Nc +1	Affiliated broker-dealer or bank to another	Jan 31, 2025
2	Advice And Planning Services BD affiliated	Schwab Wealth Advisory, Inc. no RAUM	Stone Mountain, Ga +1	Other	Aug 28, 2024 over 12 d
2	Advice And Planning Services BD affiliated	Mariner BD affiliated	Kirkland, Wa +1	Affiliated broker-dealer or bank to another	Mar 22, 2022 over 1 d
2	Advice And Planning Services BD affiliated	Raymond James & Associates, Inc. national BD	Glendale, Co +1	Affiliated broker-dealer or bank to another	Mar 4, 2022
3	Advice And Planning Services BD affiliated	Newedge Advisors BD affiliated	Hamden, Ct	Affiliated broker-dealer or bank to another	Mar 2, 2022 over 7 d
2	Advice And Planning Services BD affiliated	Wealthshield Partners, LLC independent RIA	New York, Ny	Affiliated broker-dealer or bank to independent RIA	Mar 2, 2022
2	Advice And Planning Services BD affiliated	Charles Schwab & Co., Inc. national BD	Denver, Co	Affiliated broker-dealer or bank to another	Nov 16, 2021 over 8 d
3	Advice And Planning Services BD affiliated	Newedge Advisors BD affiliated	Hamden, Ct +1	Affiliated broker-dealer or bank to another	Sep 8, 2021
2	Advice And Planning Services BD affiliated	Raymond James & Associates, Inc. national BD	Southfield, Mi	Affiliated broker-dealer or bank to another	Aug 24, 2021 over 1 d
2	Advice And Planning Services BD affiliated	Kestra Private Wealth Services, LLC BD affiliated	Roseland, Nj +1	Affiliated broker-dealer or bank to another	Jul 13, 2021 over 1 d
2	Advice And Planning Services BD affiliated	Fidelity Personal And Workplace Advisors BD affiliated	Charlotte, Nc	Affiliated broker-dealer or bank to another	May 7, 2021 over 12 d
2	Advice And Planning Services BD affiliated	Newedge Advisors BD affiliated	Melville, Ny +1	Affiliated broker-dealer or bank to another	Apr 9, 2021
2	Advice And Planning Services BD affiliated	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Latham, Ny	Affiliated broker-dealer or bank to wirehouse	Apr 9, 2021 over 5 d
2	Advice And Planning Services BD affiliated	One Capital Management, LLC independent RIA	San Francisco, Ca	Affiliated broker-dealer or bank to independent RIA	Mar 24, 2021
3	Advice And Planning Services BD affiliated	Reframe Wealth, LLC no RAUM	Fairfax, Va	Affiliated broker-dealer or bank to a newly registered adviser	Mar 3, 2021 over 1 d
2	Advice And Planning Services BD affiliated	Stratos Wealth Advisors LLC independent RIA	Philadelphia, Pa	Affiliated broker-dealer or bank to independent RIA	Mar 2, 2021 over 1 d
2	Advice And Planning Services BD affiliated	Equitable Advisors, LLC national BD	Morgantown, Wv	Affiliated broker-dealer or bank to another	Mar 2, 2021
2	Advice And Planning Services BD affiliated	Fisher Investments independent RIA	Frisco, Tx	Affiliated broker-dealer or bank to independent RIA	Nov 30, 2020 over 9 d
5	Advice And Planning Services BD affiliated	Fidelity Personal And Workplace Advisors BD affiliated	Glendale, Co +2	Affiliated broker-dealer or bank to another	Nov 13, 2020
5	Advice And Planning Services BD affiliated	Fidelity Personal And Workplace Advisors BD affiliated	Melville, Ny +2	Affiliated broker-dealer or bank to another	Nov 13, 2020
5	Advice And Planning Services BD affiliated	Fidelity Personal And Workplace Advisors BD affiliated	Charlotte, Nc	Affiliated broker-dealer or bank to another	Nov 13, 2020
5	Advice And Planning Services BD affiliated	Fidelity Personal And Workplace Advisors BD affiliated	Cambridge, Ma +2	Affiliated broker-dealer or bank to another	Nov 13, 2020
4	Advice And Planning Services BD affiliated	Morgan Stanley wirehouse	New York, Ny	Affiliated broker-dealer or bank to wirehouse	Nov 13, 2020
4	Advice And Planning Services BD affiliated	Empower Advisory Group, LLC institutional	Denver, Co +1	Other	Nov 13, 2020
4	Advice And Planning Services BD affiliated	Facet independent RIA	Chicago, Il +1	Affiliated broker-dealer or bank to independent RIA	Nov 13, 2020
3	Advice And Planning Services BD affiliated	Schwab Wealth Advisory, Inc. no RAUM	Denver, Co +1	Other	Nov 13, 2020
3	Advice And Planning Services BD affiliated	Vanguard Advisers, Inc. BD affiliated	Charlotte, Nc	Affiliated broker-dealer or bank to another	Nov 13, 2020
3	Advice And Planning Services BD affiliated	Fidelity Personal And Workplace Advisors BD affiliated	Hackensack, Nj +2	Affiliated broker-dealer or bank to another	Nov 13, 2020
3	Advice And Planning Services BD affiliated	Cetera Investment Advisers LLC BD affiliated	Walnut Creek, Ca +2	Affiliated broker-dealer or bank to another	Nov 13, 2020
3	Advice And Planning Services BD affiliated	Fidelity Personal And Workplace Advisors BD affiliated	Philadelphia, Pa +1	Affiliated broker-dealer or bank to another	Nov 13, 2020
3	Advice And Planning Services BD affiliated	Theory Financial independent RIA	Denver, Co	Affiliated broker-dealer or bank to independent RIA	Nov 13, 2020
3	Advice And Planning Services BD affiliated	E*Trade Capital Management, LLC independent RIA	Charlotte, Nc	Affiliated broker-dealer or bank to independent RIA	Nov 13, 2020
3	Advice And Planning Services BD affiliated	Charles Schwab & Co., Inc. national BD	Denver, Co +2	Affiliated broker-dealer or bank to another	Nov 13, 2020
3	Advice And Planning Services BD affiliated	Charles Schwab & Co., Inc. national BD	Chicago, Il +1	Affiliated broker-dealer or bank to another	Nov 13, 2020
3	Advice And Planning Services BD affiliated	LPL Financial LLC BD affiliated	Ithaca, Ny +2	Affiliated broker-dealer or bank to another	Nov 13, 2020
2	Advice And Planning Services BD affiliated	Fidelity Personal And Workplace Advisors BD affiliated	San Antonio, Tx +1	Affiliated broker-dealer or bank to another	Nov 13, 2020
2	Advice And Planning Services BD affiliated	Cerity Partners Ocio LLC independent RIA	Cincinnati, Oh	Affiliated broker-dealer or bank to independent RIA	Nov 13, 2020
2	Advice And Planning Services BD affiliated	Otium Financial unclassified	Chicago, Il	Other	Nov 13, 2020
2	Advice And Planning Services BD affiliated	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Philadelphia, Pa	Affiliated broker-dealer or bank to wirehouse	Nov 13, 2020
2	Advice And Planning Services BD affiliated	U.S. Bancorp Investments, Inc. BD affiliated	Madison, Wi +1	Affiliated broker-dealer or bank to another	Nov 13, 2020
2	Advice And Planning Services BD affiliated	Commonwealth Financial Network national BD	New York, Ny +1	Affiliated broker-dealer or bank to another	Nov 13, 2020
2	Advice And Planning Services BD affiliated	Northwest Asset Management independent RIA	Sherman Oaks, Ca	Affiliated broker-dealer or bank to independent RIA	Nov 13, 2020
2	Advice And Planning Services BD affiliated	Fidelity Personal And Workplace Advisors BD affiliated	Chicago, Il	Affiliated broker-dealer or bank to another	Nov 13, 2020
2	Advice And Planning Services BD affiliated	Fisher Investments independent RIA	Frisco, Tx	Affiliated broker-dealer or bank to independent RIA	Nov 13, 2020
2	Advice And Planning Services BD affiliated	J.P. Morgan Securities LLC wirehouse	St Louis, Mo	Affiliated broker-dealer or bank to wirehouse	Nov 13, 2020
2	Advice And Planning Services BD affiliated	J.P. Morgan Securities LLC wirehouse	Frisco, Tx +1	Affiliated broker-dealer or bank to wirehouse	Nov 13, 2020
2	Advice And Planning Services BD affiliated	Charles Schwab & Co., Inc. national BD	Roseland, Nj	Affiliated broker-dealer or bank to another	Nov 13, 2020
2	Advice And Planning Services BD affiliated	LPL Financial LLC BD affiliated	Wheaton, Il	Affiliated broker-dealer or bank to another	Nov 13, 2020
2	Advice And Planning Services BD affiliated	Ameriprise Financial Services, LLC national BD	Frisco, Tx	Affiliated broker-dealer or bank to another	Nov 9, 2020 over 4 d

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69 teams match.derived from registration dates