Advisers on the Move

Never miss a move. The industry's only comprehensive database of financial advisers and brokers changing firms. View over a decade of recruiting activity at wirehouses, regional brokerages, RIAs and independent broker-dealers.

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Adviser(s) Firm joining Firm leaving AUM ($M) Date
Roderick Otis GreenDempsey Lord Smith, LLCLPL Financial LLC08-07-2020
Lawrence Aloysius Breen IiiDempsey Lord Smith, LLCCentaurus Financial, Inc.01-03-2020
Richard James GowDempsey Lord Smith, LLCXML Securities$25005-16-2019
Albert Norris Dashiell JrDempsey Lord Smith, LLCCapital Investment Group, Inc.04-26-2019
Jesse Julian Griffin JrDempsey Lord Smith, LLCNewbridge Securities Corporation$5004-16-2019
Charles A StricklandDempsey Lord Smith, LLCLincoln Financial Advisors Corporation01-29-2019
Douglas Carroll ShowsDempsey Lord Smith, LLCProEquities, Inc.08-30-2018
Michael Thomas SullivanDempsey Lord Smith, LLCFirst Allied Advisory Services, Inc.$5002-09-2018
Edwin NaticDempsey Lord Smith, LLCAvantax Investment Services, Inc.10-16-2017
Frederick Benson Leathers IIIDempsey Lord Smith, LLCP.J. Robb Variable Corporation06-26-2017
Donald Westlin Gifford JrDempsey Lord Smith, LLCAmeriprise Financial Services, LLC$2506-01-2017
Timothy Patrick Ohayer SrDempsey Lord Smith, LLCP.J. Robb Variable Corporation04-11-2017
Douglas William GowDempsey Lord Smith, LLCCapital Investment Group, Inc.02-03-2017
Louis Alan GaryDempsey Lord Smith, LLCAmeriprise Financial Services, LLC$5011-04-2016
Robert Edward WillisDempsey Lord Smith, LLCPrincipal Securities, Inc.01-20-2016
Patrick GrantDempsey Lord Smith, LLCKovack Securities Inc.01-04-2016
Gary Wayne CopelandDempsey Lord Smith, LLCKovack Securities Inc.09-14-2015
Jeffrey David RickettDempsey Lord Smith, LLCSunTrust Investment Services, Inc.$5807-01-2015
Robert James MaranghiDempsey Lord Smith, LLCKovack Securities Inc.01-02-2015
Rajesh C JyotishiDempsey Lord Smith, LLCKovack Securities Inc.01-02-2015
James Mark MaddoxDempsey Lord Smith, LLCMidAmerica Financial Services, Inc.12-01-2014
William Stuart FinnieDempsey Lord Smith, LLCKovack Securities Inc.$10010-28-2014
Barbara Miner McCormackDempsey Lord Smith, LLCCape Securities Inc.$5001-02-2014
Linda Rose KuehnDempsey Lord Smith, LLCCape Securities Inc.01-02-2014
Michael Keith ArgoDempsey Lord Smith, LLCMML Investors Services, LLC06-03-2013
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Disclaimer & Methodology: The InvestmentNews Advisers on the Move database is designed to capture all recruiting activity of retail financial advisers/teams of advisers as they move from one firm to another. The activity recorded within the database comes from a number of sources, including InvestmentNews and other media reports; press releases; direct submissions that have been reviewed by InvestmentNews; and regulatory filings. To qualify as a move, no more than 60 days can have elapsed between the date an adviser/team leaves one firm and the date they join another. Any adviser registration changes that came as a result of merger & acquisition activity are not recorded as moves in the database. Finally, please note that all AUM data is user-submitted and is not audited by InvestmentNews or any regulatory agency. When AUM data is unavailable, a “ — “ is listed in the record’s AUM field entry. All data and information is the property of InvestmentNews LLC and is protected by copyright and other intellectual property laws. All rights are reserved by InvestmentNews LLC. Data may only be viewed on InvestmentNews.com and can not be resold, republished, redistributed, sublicensed, or copied for any other use without the permission of InvestmentNews LLC.