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 joined 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
3	Strategic Advisers LLC national BD	Advice And Planning Services BD affiliated	Boston, Ma	Affiliated broker-dealer or bank to another	Jul 29, 2026 over 22 d
2	Fisher Investments independent RIA	Advice And Planning Services BD affiliated	Plano, Tx	RIA to affiliated broker-dealer or bank	Jul 16, 2026 over 4 d
2	Wells Fargo Advisors wirehouse	Advice And Planning Services BD affiliated	Charlotte, Nc	Wirehouse to affiliated broker-dealer or bank	Jul 15, 2026 over 2 d
3	Principal Advised Services BD affiliated	Advice And Planning Services BD affiliated	Charlotte, Nc +1	Affiliated broker-dealer or bank to another	Jun 30, 2026 over 14 d
2	Strategic Advisers LLC national BD	Advice And Planning Services BD affiliated	Boston, Ma	Affiliated broker-dealer or bank to another	May 14, 2026 over 7 d
2	J.P. Morgan Securities LLC wirehouse	Advice And Planning Services BD affiliated	Plano, Tx +1	Wirehouse to affiliated broker-dealer or bank	Apr 1, 2026 over 6 d
2	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Advice And Planning Services BD affiliated	Dallas, Tx +1	Wirehouse to affiliated broker-dealer or bank	Mar 17, 2026 over 10 d
2	J.P. Morgan Securities LLC wirehouse	Advice And Planning Services BD affiliated	Suwanee, Ga +1	Wirehouse to affiliated broker-dealer or bank	Mar 15, 2026
4	Fisher Investments independent RIA	Advice And Planning Services BD affiliated	Plano, Tx	RIA to affiliated broker-dealer or bank	Mar 5, 2026 over 14 d
2	Strategic Advisers LLC national BD	Advice And Planning Services BD affiliated	Boston, Ma	Affiliated broker-dealer or bank to another	Mar 5, 2026 over 14 d
3	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Advice And Planning Services BD affiliated	Charlotte, Nc	Wirehouse to affiliated broker-dealer or bank	Jan 15, 2026 over 18 d
2	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Advice And Planning Services BD affiliated	Fort Worth, Tx	Wirehouse to affiliated broker-dealer or bank	Sep 2, 2025 over 2 d
2	Strategic Advisers LLC national BD	Advice And Planning Services BD affiliated	Boston, Ma	Affiliated broker-dealer or bank to another	Aug 25, 2025 over 7 d
2	Vanguard Advisers, Inc. BD affiliated	Advice And Planning Services BD affiliated	Charlotte, Nc	Affiliated broker-dealer or bank to another	Dec 17, 2024 over 14 d
2	Fisher Investments independent RIA	Advice And Planning Services BD affiliated	Plano, Tx	RIA to affiliated broker-dealer or bank	Dec 10, 2024 over 7 d
2	Charles Schwab & Co., Inc. national BD	Advice And Planning Services BD affiliated	Westlake, Tx	Affiliated broker-dealer or bank to another	Jul 29, 2024 over 7 d
2	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Advice And Planning Services BD affiliated	Charlotte, Nc	Wirehouse to affiliated broker-dealer or bank	Apr 9, 2024 over 7 d
2	Vanguard Advisers, Inc. BD affiliated	Advice And Planning Services BD affiliated	Charlotte, Nc	Affiliated broker-dealer or bank to another	Apr 3, 2024 over 5 d
2	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Advice And Planning Services BD affiliated	Houston, Tx	Wirehouse to affiliated broker-dealer or bank	Jan 24, 2024 over 8 d
2	Truist Advisory Services, Inc. BD affiliated	Advice And Planning Services BD affiliated	Greenville, Nc +1	Affiliated broker-dealer or bank to another	Oct 10, 2023 over 9 d
2	Vanguard Advisers, Inc. BD affiliated	Advice And Planning Services BD affiliated	Charlotte, Nc	Affiliated broker-dealer or bank to another	Oct 5, 2023 over 12 d
3	E*Trade Capital Management, LLC independent RIA	Advice And Planning Services BD affiliated	New York, Ny +1	RIA to affiliated broker-dealer or bank	Aug 18, 2023 over 3 d
4	E*Trade Capital Management, LLC independent RIA	Advice And Planning Services BD affiliated	San Diego, Ca +2	RIA to affiliated broker-dealer or bank	Aug 11, 2023 over 4 d
4	E*Trade Capital Management, LLC independent RIA	Advice And Planning Services BD affiliated	Charlotte, Nc	RIA to affiliated broker-dealer or bank	Aug 10, 2023 over 5 d
2	Nuveen Asset Management, LLC other	Advice And Planning Services BD affiliated	Chicago, Il	Other	Jul 27, 2023 over 8 d
2	J.P. Morgan Securities LLC wirehouse	Advice And Planning Services BD affiliated	Los Angeles, Ca +1	Wirehouse to affiliated broker-dealer or bank	Jul 15, 2023 over 14 d
2	Nuveen Asset Management, LLC other	Advice And Planning Services BD affiliated	Chicago, Il	Other	Jul 3, 2023 over 8 d
2	Fidelity Personal And Workplace Advisors BD affiliated	Advice And Planning Services BD affiliated	Westlake, Tx	Affiliated broker-dealer or bank to another	Jul 3, 2023 over 10 d
2	UBS Financial Services Inc. wirehouse	Advice And Planning Services BD affiliated	Weehawken, Nj	Wirehouse to affiliated broker-dealer or bank	Jun 26, 2023 over 14 d
2	Vanguard Advisers, Inc. BD affiliated	Advice And Planning Services BD affiliated	Charlotte, Nc	Affiliated broker-dealer or bank to another	Dec 7, 2022 over 12 d
2	LPL Financial LLC independent RIA	Advice And Planning Services BD affiliated	Fort Mill, Sc	RIA to affiliated broker-dealer or bank	Nov 16, 2022 over 9 d
2	Fidelity Personal And Workplace Advisors BD affiliated	Advice And Planning Services BD affiliated	Boston, Ma	Affiliated broker-dealer or bank to another	Sep 8, 2022 over 9 d
2	Wells Fargo Advisors wirehouse	Advice And Planning Services BD affiliated	Boca Raton, Fl +1	Wirehouse to affiliated broker-dealer or bank	Feb 4, 2022 over 7 d
3	Fidelity Personal And Workplace Advisors BD affiliated	Advice And Planning Services BD affiliated	Boston, Ma	Affiliated broker-dealer or bank to another	Sep 21, 2021 over 15 d
6	Fidelity Personal And Workplace Advisors BD affiliated	Advice And Planning Services BD affiliated	Boston, Ma	Affiliated broker-dealer or bank to another	Sep 10, 2018 over 11 d
2	J.P. Morgan Securities LLC wirehouse	Advice And Planning Services BD affiliated	New York, Ny	Wirehouse to affiliated broker-dealer or bank	May 31, 2018 over 12 d
7	Scottrade Investment Management BD affiliated	Advice And Planning Services other	Saint Louis, Mo	Other	Mar 7, 2018 over 2 d
2	Strategic Advisers LLC national BD	Advice And Planning Services other	Germantown, Tn	Other	Jan 25, 2018 over 8 d
2	Hantz Financial Services, Inc. other	Advice And Planning Services other	Okemos, Mi	Other	Oct 25, 2017 over 9 d
2	Edward Jones national BD	Advice And Planning Services other	Helotes, Tx +1	Other	Sep 28, 2017 over 13 d
2	Strategic Advisers LLC national BD	Advice And Planning Services other	Greenwood Village, Co	Other	Aug 21, 2017 over 4 d
2	Strategic Advisers LLC national BD	Advice And Planning Services other	San Diego, Ca +1	Other	May 9, 2017 over 8 d
2	Vanguard Advisers, Inc. other	Advice And Planning Services other	Charlotte, Nc	Other	Sep 22, 2016 over 14 d
2	Pnc Wealth Management other	Advice And Planning Services other	Columbus, Oh +1	Other	Sep 7, 2016 over 5 d
2	J.P. Morgan Securities LLC wirehouse	Advice And Planning Services other	Lewisville, Tx +1	Other	Jun 8, 2016 over 5 d
3	Strategic Advisers LLC national BD	Advice And Planning Services other	Westlake, Tx +2	Other	Apr 20, 2016 over 14 d
3	Curian Capital, LLC other	Advice And Planning Services other	Denver, Co	Other	Mar 21, 2016 over 8 d
2	Vanguard Advisers, Inc. other	Advice And Planning Services other	Charlotte, Nc	Other	Feb 19, 2016
2	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Advice And Planning Services other	Boston, Ma	Other	Feb 12, 2016
2	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Advice And Planning Services other	Norfolk, Va +1	Other	Nov 18, 2015 over 9 d
2	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Advice And Planning Services other	Cranston, Ri	Other	Nov 17, 2015
2	Edward Jones national BD	Advice And Planning Services other	St Louis, Mo	Other	Sep 18, 2015 over 6 d
2	Pnc Wealth Management other	Advice And Planning Services other	Monroeville, Pa +1	Other	Sep 9, 2015 over 6 d
2	Td Ameritrade, Inc. no RAUM	Advice And Planning Services other	New York, Ny	Other	Jun 1, 2015 over 1 d
2	E*Trade Capital Management, LLC other	Advice And Planning Services other	Arlington, Va	Other	Jan 6, 2015 over 10 d

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55 teams match.derived from registration dates