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2 advisors left LPL Financial LLC (Hales Corners, WI) for Cetera Investment Advisers LLC on the same day | DFX Data Factory

NewDerived metricRIA / WealthAdvisor Recruiting IntelligenceSep 11, 2026 · first seen 4 days ago

2 advisors left LPL Financial LLC (Hales Corners, WI) for Cetera Investment Advisers LLC on the same day

LPL FINANCIAL LLC · firm

computed from facts with a stated formula and window

What changed

2 advisors left LPL Financial LLC (Hales Corners, WI) for Cetera Investment Advisers LLC on the same day

Why now: Dated 2026-09-11 (filing); first seen by DFX 2026-09-16.

Who this matters to

only relationships the graph supports

Primary

LPL FINANCIAL LLCadverse
lost the team. the firm that lost advisors · df_pub_event.subject

Secondary

CETERA INVESTMENT ADVISERS LLCfavourable
gained the team. the destination firm · df_pub_event.related

Potential beneficiaries

Advisor recruiters (class)favourable
recruits from firms in motion. colleagues follow a team · class
Custodians (class)favourable
custodies the moving assets. assets re-paper on a move · class

Buyer classes for this family: RIA aggregators, Advisor recruiters, Custodians, RIA principals.

Economic footprint

probability and consequence kept apart

advisors: exposure unknown
State: New
Historical signal: not measured as a predictor
Confidence: 0.85

Why it matters

a same-day team move names the losing and gaining firm; recruiters, custodians and aggregators act on it within days. Evidence class: derived; source IAPD individual compilation feed (every investment adviser representative, daily).

What to do next

workflow actions, never advice

Open firm View advisor flows Universe: firms in motion

DFX product: Advisor Recruiting Intelligence

Who would own this decision

public roster names; business contact details are an account feature

Andrew David Watts · President · CETERA INVESTMENT ADVISERS LLC
Brendan Michael Durbin · Chief Executive Officer · CETERA INVESTMENT ADVISERS LLC
Joseph Daniel Neary · Chief Risk Officer · CETERA INVESTMENT ADVISERS LLC
Matthew Jon Audette · President and Chief Financial Officer · LPL FINANCIAL LLC
Althea Ann-Marie Brown · Managing Director, Chief Legal Officer and Director · LPL FINANCIAL LLC
Labkhand Sara Dadyar · Managing Director, Chief Human Capital Officer · LPL FINANCIAL LLC

Evidence

Evidence, method and the rank's parts

Sources

IAPD individual compilation feed (every investment adviser representative, daily) · Sep 11, 2026adviserinfo.sec.gov

What would make this less concerning

the registrations are a re-registration under a renamed firm

Actionability, eleven dimensions (0 to 5)

novelty5
confidence4
timeliness5
actionability3
affected entities2
economic magnitude0
financing consequence0
portfolio consequence2
commercial consequence5
investment consequence1
fundraising consequence

More advisor recruiting intelligence signals

NewDerived metricRIA / WealthAdvisor Recruiting Intelligence

2 advisors left UBS Financial Services Inc. (Northfield, NJ) for Benjamin F. Edwards & Company, Incorporated on the same day

Dated 2026-09-18 (filing); first seen by DFX 2026-09-19.

Exposure: exposure unknown
Who this matters to: RIA aggregators, Advisor recruiters +2
Historical: not a measured predictor

BENJAMIN F. EDWARDS & COMPANY, INCORPORATED · destination firm

Advisor Recruiting IntelligenceSep 18, 2026 · seen yesterday

NewDerived metric

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