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.

Considering changing firms, making a new hire or exploring an acquisition? Visit the Adviser Center.

Latest moves


Adviser(s) Firm joining Firm leaving AUM ($M) Date
Albert Norris Dashiell Jr.Dempsey Lord Smith, LLCCapital Investment Group, Inc.$104-26-2019
Charles Albert StricklandDempsey Lord Smith, LLCLincoln Financial Advisors Corporation01-29-2019
Steven Charles BarrettDempsey Lord Smith, LLCMML Investors Services, LLC04-30-2018
Edwin NaticDempsey Lord Smith, LLCHD Vest Investment Services10-16-2017
Frederick Benson Leathers IIIDempsey Lord Smith, LLCP.J. Robb Variable Corporation06-26-2017
Donald Westlin Gifford Jr.Dempsey Lord Smith, LLCAmeriprise Financial Services, Inc.$2506-01-2017
Timothy Patrick Ohayer Sr.Dempsey Lord Smith, LLCP.J. Robb Variable Corporation$2504-11-2017
Douglas William GowDempsey Lord Smith, LLCCapital Investment Group, Inc.$1002-03-2017
Louis Alan GaryDempsey Lord Smith, LLCAmeriprise Financial Services, Inc.$5011-04-2016
Daniel Robert SteinerDempsey Lord Smith, LLCTriad Advisors LLC08-02-2016
Melinda P MeeksDempsey Lord Smith, LLCNorthwestern Mutual Investment Services, LLC12-07-2015
Gary Wayne CopelandDempsey Lord Smith, LLCKovack Securities Inc.$2509-14-2015
Adrian Devon LylesDempsey Lord Smith, LLCWells Fargo Clearing Services, LLC07-02-2015
Jeffrey David RickettDempsey Lord Smith, LLCSunTrust Investment Services, Inc.$5807-01-2015
David Mark GarnerDempsey Lord Smith, LLCLPL Financial LLC06-22-2015
John Alan CoryDempsey Lord Smith, LLCKovack Securities Inc.01-07-2015
Rajesh C JyotishiDempsey Lord Smith, LLCKovack Securities Inc.$101-02-2015
Robert James MaranghiDempsey Lord Smith, LLCKovack Securities Inc.01-02-2015
James Mark MaddoxDempsey Lord Smith, LLCMidAmerica Financial Services, Inc.$5012-01-2014
William Stuart FinnieDempsey Lord Smith, LLCKovack Securities Inc.$10010-28-2014
Kenneth Edward StoneDempsey Lord Smith, LLCResource Horizons Group LLC10-01-2014
Shaun Thomas SimonDempsey Lord Smith, LLCCadaret, Grant & Co., Inc.01-03-2014
Barbara Miner MccormackDempsey Lord Smith, LLCCape Securities Inc.$5001-02-2014
Linda Rose KuehnDempsey Lord Smith, LLCCape Securities Inc.$101-02-2014
Karon GravesDempsey Lord Smith, LLCProEquities, Inc.06-10-2013
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Showing 1 to 25 of 35 entries

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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.


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