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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Latest moves


Adviser(s) Firm joining Firm leaving AUM ($M) Date
Richard James GowDempsey Lord Smith, LLCLara, May & Associates, LLC$25005-16-2019
Albert Norris Dashiell Jr.Dempsey Lord Smith, LLCCapital Investment Group, Inc.04-26-2019
Charles A. StricklandDempsey Lord Smith, LLCLincoln Financial Advisors Corporation01-29-2019
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.$1006-01-2017
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
Roger Allan RoemmichDempsey Lord Smith, LLCROKA Wealth Strategists$10010-13-2016
Gary Wayne CopelandDempsey Lord Smith, LLCKovack Securities Inc.$1009-14-2015
Jeffrey David RickettDempsey Lord Smith, LLCSunTrust Investment Services, Inc.$10007-01-2015
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
Linda Rose KuehnDempsey Lord Smith, LLCCape Securities Inc.01-02-2014
Barbara Miner McCormackDempsey Lord Smith, LLCCape Securities Inc.01-02-2014
Michael Keith ArgoDempsey Lord Smith, LLCMML Investors Services, LLC06-03-2013
Michelle Marie Martin-YoderDempsey Lord Smith, LLCCantella & Co., Inc.$5002-17-2012
Jonathan Perry GossettDempsey Lord Smith, LLCAmeriprise Financial Services, Inc.$2504-23-2011
Donald Michael Dusick Jr.Dempsey Lord Smith, LLCResource Horizons Group LLC11-01-2010
Mark Morelle HeadrickDempsey Lord Smith, LLCRBC Capital Markets, LLC11-27-2009
Jerry Lee ParrishDempsey Lord Smith, LLCEdward Jones08-14-2009

Showing 1 to 24 of 24 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. 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 and can not be resold, republished, redistributed, sublicensed, or copied for any other use without the permission of InvestmentNews LLC.


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