DFX Intelligence
RIA Intelligence
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 | A••••• A•• P••••••• S••••••• BD affiliated | V••••••• A•••••••• I••• BD affiliated | Kannapolis, Nc +1 | Affiliated broker-dealer or bank to another | Jan 2, 2026 |
| 5 | A••••• A•• P••••••• S••••••• BD affiliated | O•• C•••••• M••••••••• L•• independent RIA | Roswell, Ga +3 | Affiliated broker-dealer or bank to independent RIA | Dec 23, 2025 over 10 d |
| 2 | A••••• A•• P••••••• S••••••• BD affiliated | O•• C•••••• M••••••••• L•• independent RIA | Littleton, Co +1 | Affiliated broker-dealer or bank to independent RIA | Sep 10, 2025 over 7 d |
| 3 | A••••• A•• P••••••• S••••••• BD affiliated | O•• C•••••• M••••••••• L•• independent RIA | Sherman Oaks, Ca +2 | Affiliated broker-dealer or bank to independent RIA | Aug 4, 2025 over 4 d |
| 2 | A••••• A•• P••••••• S••••••• BD affiliated | O•• C•••••• M••••••••• L•• independent RIA | Denver, Co +1 | Affiliated broker-dealer or bank to independent RIA | Aug 4, 2025 |
| 2 | A••••• A•• P••••••• S••••••• BD affiliated | C••••••• F•••••••• S•••••• C••••••••• other | Englewood, Co +1 | Other | Mar 7, 2025 |
| 2 | A••••• A•• P••••••• S••••••• BD affiliated | V••••••• A•••••••• I••• BD affiliated | Concord, Nc +1 | Affiliated broker-dealer or bank to another | Feb 27, 2025 over 6 d |
| 2 | A••••• A•• P••••••• S••••••• BD affiliated | S•••••••• A••••••• L•• national BD | Frisco, Tx | Affiliated broker-dealer or bank to another | Jan 31, 2025 |
| 2 | A••••• A•• P••••••• S••••••• BD affiliated | V••••••• A•••••••• I••• BD affiliated | Charlotte, Nc +1 | Affiliated broker-dealer or bank to another | Jan 31, 2025 |
| 2 | A••••• A•• P••••••• S••••••• BD affiliated | S••••• W••••• A•••••••• I••• no RAUM | Stone Mountain, Ga +1 | Other | Aug 28, 2024 over 12 d |
| 2 | A••••• A•• P••••••• S••••••• BD affiliated | M•••••• BD affiliated | Kirkland, Wa +1 | Affiliated broker-dealer or bank to another | Mar 22, 2022 over 1 d |
| 2 | A••••• A•• P••••••• S••••••• BD affiliated | R•••••• J•••• • A••••••••• I••• national BD | Glendale, Co +1 | Affiliated broker-dealer or bank to another | Mar 4, 2022 |
| 3 | A••••• A•• P••••••• S••••••• BD affiliated | N•••••• A••••••• BD affiliated | Hamden, Ct | Affiliated broker-dealer or bank to another | Mar 2, 2022 over 7 d |
| 2 | A••••• A•• P••••••• S••••••• BD affiliated | W••••••••• P•••••••• L•• independent RIA | New York, Ny | Affiliated broker-dealer or bank to independent RIA | Mar 2, 2022 |
| 2 | A••••• A•• P••••••• S••••••• BD affiliated | C•••••• S••••• • C••• I••• national BD | Denver, Co | Affiliated broker-dealer or bank to another | Nov 16, 2021 over 8 d |
| 3 | A••••• A•• P••••••• S••••••• BD affiliated | N•••••• A••••••• BD affiliated | Hamden, Ct +1 | Affiliated broker-dealer or bank to another | Sep 8, 2021 |
| 2 | A••••• A•• P••••••• S••••••• BD affiliated | R•••••• J•••• • A••••••••• I••• national BD | Southfield, Mi | Affiliated broker-dealer or bank to another | Aug 24, 2021 over 1 d |
| 2 | A••••• A•• P••••••• S••••••• BD affiliated | K••••• P•••••• W••••• S•••••••• L•• BD affiliated | Roseland, Nj +1 | Affiliated broker-dealer or bank to another | Jul 13, 2021 over 1 d |
| 2 | A••••• A•• P••••••• S••••••• BD affiliated | F••••••• P••••••• A•• W•••••••• A••••••• BD affiliated | Charlotte, Nc | Affiliated broker-dealer or bank to another | May 7, 2021 over 12 d |
| 2 | A••••• A•• P••••••• S••••••• BD affiliated | N•••••• A••••••• BD affiliated | Melville, Ny +1 | Affiliated broker-dealer or bank to another | Apr 9, 2021 |
| 2 | A••••• A•• P••••••• S••••••• BD affiliated | M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse | Latham, Ny | Affiliated broker-dealer or bank to wirehouse | Apr 9, 2021 over 5 d |
| 2 | A••••• A•• P••••••• S••••••• BD affiliated | O•• C•••••• M••••••••• L•• independent RIA | San Francisco, Ca | Affiliated broker-dealer or bank to independent RIA | Mar 24, 2021 |
| 3 | A••••• A•• P••••••• S••••••• BD affiliated | R•••••• W•••••• L•• no RAUM | Fairfax, Va | Affiliated broker-dealer or bank to a newly registered adviser | Mar 3, 2021 over 1 d |
| 2 | A••••• A•• P••••••• S••••••• BD affiliated | S•••••• W••••• A••••••• L•• independent RIA | Philadelphia, Pa | Affiliated broker-dealer or bank to independent RIA | Mar 2, 2021 over 1 d |
| 2 | A••••• A•• P••••••• S••••••• BD affiliated | E•••••••• A•••••••• L•• national BD | Morgantown, Wv | Affiliated broker-dealer or bank to another | Mar 2, 2021 |
| 2 | A••••• A•• P••••••• S••••••• BD affiliated | F••••• I••••••••• independent RIA | Frisco, Tx | Affiliated broker-dealer or bank to independent RIA | Nov 30, 2020 over 9 d |
| 5 | A••••• A•• P••••••• S••••••• BD affiliated | F••••••• P••••••• A•• W•••••••• A••••••• BD affiliated | Glendale, Co +2 | Affiliated broker-dealer or bank to another | Nov 13, 2020 |
| 5 | A••••• A•• P••••••• S••••••• BD affiliated | F••••••• P••••••• A•• W•••••••• A••••••• BD affiliated | Melville, Ny +2 | Affiliated broker-dealer or bank to another | Nov 13, 2020 |
| 5 | A••••• A•• P••••••• S••••••• BD affiliated | F••••••• P••••••• A•• W•••••••• A••••••• BD affiliated | Charlotte, Nc | Affiliated broker-dealer or bank to another | Nov 13, 2020 |
| 5 | A••••• A•• P••••••• S••••••• BD affiliated | F••••••• P••••••• A•• W•••••••• A••••••• BD affiliated | Cambridge, Ma +2 | Affiliated broker-dealer or bank to another | Nov 13, 2020 |
| 4 | A••••• A•• P••••••• S••••••• BD affiliated | M••••• S•••••• wirehouse | New York, Ny | Affiliated broker-dealer or bank to wirehouse | Nov 13, 2020 |
| 4 | A••••• A•• P••••••• S••••••• BD affiliated | E•••••• A••••••• G••••• L•• institutional | Denver, Co +1 | Other | Nov 13, 2020 |
| 4 | A••••• A•• P••••••• S••••••• BD affiliated | F•••• independent RIA | Chicago, Il +1 | Affiliated broker-dealer or bank to independent RIA | Nov 13, 2020 |
| 3 | A••••• A•• P••••••• S••••••• BD affiliated | S••••• W••••• A•••••••• I••• no RAUM | Denver, Co +1 | Other | Nov 13, 2020 |
| 3 | A••••• A•• P••••••• S••••••• BD affiliated | V••••••• A•••••••• I••• BD affiliated | Charlotte, Nc | Affiliated broker-dealer or bank to another | Nov 13, 2020 |
| 3 | A••••• A•• P••••••• S••••••• BD affiliated | F••••••• P••••••• A•• W•••••••• A••••••• BD affiliated | Hackensack, Nj +2 | Affiliated broker-dealer or bank to another | Nov 13, 2020 |
| 3 | A••••• A•• P••••••• S••••••• BD affiliated | C••••• I••••••••• A••••••• L•• BD affiliated | Walnut Creek, Ca +2 | Affiliated broker-dealer or bank to another | Nov 13, 2020 |
| 3 | A••••• A•• P••••••• S••••••• BD affiliated | F••••••• P••••••• A•• W•••••••• A••••••• BD affiliated | Philadelphia, Pa +1 | Affiliated broker-dealer or bank to another | Nov 13, 2020 |
| 3 | A••••• A•• P••••••• S••••••• BD affiliated | T••••• F•••••••• independent RIA | Denver, Co | Affiliated broker-dealer or bank to independent RIA | Nov 13, 2020 |
| 3 | A••••• A•• P••••••• S••••••• BD affiliated | E•••••• C•••••• M••••••••• L•• independent RIA | Charlotte, Nc | Affiliated broker-dealer or bank to independent RIA | Nov 13, 2020 |
| 3 | A••••• A•• P••••••• S••••••• BD affiliated | C•••••• S••••• • C••• I••• national BD | Denver, Co +2 | Affiliated broker-dealer or bank to another | Nov 13, 2020 |
| 3 | A••••• A•• P••••••• S••••••• BD affiliated | C•••••• S••••• • C••• I••• national BD | Chicago, Il +1 | Affiliated broker-dealer or bank to another | Nov 13, 2020 |
| 3 | A••••• A•• P••••••• S••••••• BD affiliated | L•• F•••••••• L•• BD affiliated | Ithaca, Ny +2 | Affiliated broker-dealer or bank to another | Nov 13, 2020 |
| 2 | A••••• A•• P••••••• S••••••• BD affiliated | F••••••• P••••••• A•• W•••••••• A••••••• BD affiliated | San Antonio, Tx +1 | Affiliated broker-dealer or bank to another | Nov 13, 2020 |
| 2 | A••••• A•• P••••••• S••••••• BD affiliated | C••••• P••••••• O••• L•• independent RIA | Cincinnati, Oh | Affiliated broker-dealer or bank to independent RIA | Nov 13, 2020 |
| 2 | A••••• A•• P••••••• S••••••• BD affiliated | O•••• F•••••••• unclassified | Chicago, Il | Other | Nov 13, 2020 |
| 2 | A••••• A•• P••••••• S••••••• BD affiliated | M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse | Philadelphia, Pa | Affiliated broker-dealer or bank to wirehouse | Nov 13, 2020 |
| 2 | A••••• A•• P••••••• S••••••• BD affiliated | U••• B•••••• I••••••••• I••• BD affiliated | Madison, Wi +1 | Affiliated broker-dealer or bank to another | Nov 13, 2020 |
| 2 | A••••• A•• P••••••• S••••••• BD affiliated | C••••••••• F•••••••• N•••••• national BD | New York, Ny +1 | Affiliated broker-dealer or bank to another | Nov 13, 2020 |
| 2 | A••••• A•• P••••••• S••••••• BD affiliated | N•••••••• A•••• M••••••••• independent RIA | Sherman Oaks, Ca | Affiliated broker-dealer or bank to independent RIA | Nov 13, 2020 |
| 2 | A••••• A•• P••••••• S••••••• BD affiliated | F••••••• P••••••• A•• W•••••••• A••••••• BD affiliated | Chicago, Il | Affiliated broker-dealer or bank to another | Nov 13, 2020 |
| 2 | A••••• A•• P••••••• S••••••• BD affiliated | F••••• I••••••••• independent RIA | Frisco, Tx | Affiliated broker-dealer or bank to independent RIA | Nov 13, 2020 |
| 2 | A••••• A•• P••••••• S••••••• BD affiliated | J••• M••••• S••••••••• L•• wirehouse | St Louis, Mo | Affiliated broker-dealer or bank to wirehouse | Nov 13, 2020 |
| 2 | A••••• A•• P••••••• S••••••• BD affiliated | J••• M••••• S••••••••• L•• wirehouse | Frisco, Tx +1 | Affiliated broker-dealer or bank to wirehouse | Nov 13, 2020 |
| 2 | A••••• A•• P••••••• S••••••• BD affiliated | C•••••• S••••• • C••• I••• national BD | Roseland, Nj | Affiliated broker-dealer or bank to another | Nov 13, 2020 |
| 2 | A••••• A•• P••••••• S••••••• BD affiliated | L•• F•••••••• L•• BD affiliated | Wheaton, Il | Affiliated broker-dealer or bank to another | Nov 13, 2020 |
| 2 | A••••• A•• P••••••• S••••••• BD affiliated | A••••••••• F•••••••• S•••••••• L•• 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
The firm and advisor names past the first 3 rows are hidden. Open a row to reveal that record with a free account (5 a month), or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source is public either way.