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 moves
Departures from Cetera Investment Advisers LLC
A move is two dates on IAPD: the day a person’s registration through one firm ended and the day a registration through another began. The type reads the class of each firm. This is the movement tape the mobility research is validated against; it says what happened, never why, and never who is about to.
| Advisor | From | To | Type | Left | Registered |
|---|---|---|---|---|---|
| Jeffrey Allen West | Cetera Investment Advisers LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 8, 2026 | Apr 8, 2026 |
| Ryan Walter Carlin | Cetera Investment Advisers LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 8, 2026 | Apr 8, 2026 |
| Jennifer Lynn Haas | Cetera Investment Advisers LLC BD affiliated | Raymond James Financial Services Advisors, Inc BD affiliated | Affiliated broker-dealer or bank to another | Apr 8, 2026 | Apr 15, 2026 |
| John Scott Pimental | Cetera Investment Advisers LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 8, 2026 | Apr 16, 2026 |
| Robert Joseph Sayre | Cetera Investment Advisers LLC BD affiliated | Simplicity Wealth mixed wealth | Affiliated broker-dealer or bank to independent RIA | Apr 8, 2026 | Apr 9, 2026 |
| Dennis Patrick Maguire | Cetera Investment Advisers LLC BD affiliated | Simplicity Wealth mixed wealth | Affiliated broker-dealer or bank to independent RIA | Apr 8, 2026 | Apr 8, 2026 |
| William Lawrence Patriarca | Cetera Investment Advisers LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 8, 2026 | Apr 20, 2026 |
| John Charles Himmelspach | Cetera Investment Advisers LLC BD affiliated | Annex Wealth Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 8, 2026 | May 5, 2026 |
| Keith Wayne Patterson | Cetera Investment Advisers LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 7, 2026 | Apr 6, 2026 |
| Taylor Ayres | Cetera Investment Advisers LLC BD affiliated | Creative Planning independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 7, 2026 | Jun 17, 2026 (71 d) |
| Christopher Carroll | Cetera Investment Advisers LLC BD affiliated | Raymond James Financial Services Advisors, Inc BD affiliated | Affiliated broker-dealer or bank to another | Apr 6, 2026 | Apr 6, 2026 |
| Matthew L Zokai | Cetera Investment Advisers LLC BD affiliated | Fisher\Smb institutional | Other | Apr 6, 2026 | Apr 14, 2026 |
| Gregory John Bayer | Cetera Investment Advisers LLC BD affiliated | Arax Advisory Partners independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 2, 2026 | Mar 30, 2026 |
| Jeffrey Martin Sullivan | Cetera Investment Advisers LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 2, 2026 | Apr 2, 2026 |
| Braedon Gregory Bayer | Cetera Investment Advisers LLC BD affiliated | Arax Advisory Partners independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 2, 2026 | Mar 31, 2026 |
| Stephen Russell Story | Cetera Investment Advisers LLC BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 1, 2026 | Mar 30, 2026 |
| Patricia Mapel | Cetera Investment Advisers LLC BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Apr 1, 2026 | Mar 27, 2026 |
| Keith Allen Braddock | Cetera Investment Advisers LLC BD affiliated | Thrivent Investment Management Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 1, 2026 | May 6, 2026 (35 d) |
| Matthew Williams | Cetera Investment Advisers LLC BD affiliated | Oneascent Financial Services LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 31, 2026 | Apr 15, 2026 |
| Nathan Scott Smith | Cetera Investment Advisers LLC BD affiliated | Fifth Third Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 31, 2026 | May 1, 2026 (31 d) |
| Nikolay Konstantinovich Terekhin | Cetera Investment Advisers LLC BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Mar 31, 2026 | Aug 21, 2026 (143 d) |
| David C Wilson | Cetera Investment Advisers LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Mar 30, 2026 | Mar 30, 2026 |
| Levi William Gunn | Cetera Investment Advisers LLC BD affiliated | Bok Financial Advisors BD affiliated | Affiliated broker-dealer or bank to another | Mar 30, 2026 | Apr 15, 2026 |
| Ethan Jeremiah Loppatto | Cetera Investment Advisers LLC BD affiliated | Patton Albertson Miller Group, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 27, 2026 | Apr 21, 2026 |
| Amie Marie Toyama | Cetera Investment Advisers LLC BD affiliated | Avantax Planning Partners, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 26, 2026 | Mar 26, 2026 |
| Tyler Herrick Cuba | Cetera Investment Advisers LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Mar 25, 2026 | Mar 18, 2026 |
| Paul B Mills | Cetera Investment Advisers LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Mar 25, 2026 | Mar 18, 2026 |
| Paul Fredrick Delord | Cetera Investment Advisers LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Mar 23, 2026 | Apr 20, 2026 |
| John Kevin Burton | Cetera Investment Advisers LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Mar 20, 2026 | Apr 8, 2026 |
| Adam Alden Cheshire | Cetera Investment Advisers LLC BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Mar 20, 2026 | Jul 8, 2026 (110 d) |
| Juan Jose Santiago Marrero | Cetera Investment Advisers LLC BD affiliated | Strategic Wealth Partners, Ltd. independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 19, 2026 | Jun 3, 2026 (76 d) |
| Jonathan Andrew Safko | Cetera Investment Advisers LLC BD affiliated | Empower Advisory Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Mar 17, 2026 | Mar 20, 2026 |
| Jeffrey Tanner Meck | Cetera Investment Advisers LLC BD affiliated | Riverfront Investment Group, LLC mixed wealth | Affiliated broker-dealer or bank to independent RIA | Mar 17, 2026 | May 13, 2026 (57 d) |
| Cheryl J Steiner | Cetera Investment Advisers LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Mar 16, 2026 | Apr 7, 2026 |
| June-David Caalaman | Cetera Investment Advisers LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Mar 16, 2026 | Mar 17, 2026 |
| Stephen Paul Giordano | Cetera Investment Advisers LLC BD affiliated | Woodmont Wealth Management, LLC` state registered | Affiliated broker-dealer or bank to a state-registered adviser | Mar 15, 2026 | May 15, 2026 (61 d) |
| Michael Christiansen | Cetera Investment Advisers LLC BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Mar 15, 2026 | May 19, 2026 (65 d) |
| Blake Ryan Stawarz | Cetera Investment Advisers LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Mar 15, 2026 | Mar 2, 2026 |
| Christian Joseph Dilorenzo | Cetera Investment Advisers LLC BD affiliated | First Citizens Investor Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 15, 2026 | May 15, 2026 (61 d) |
| Amos Akinyooye | Cetera Investment Advisers LLC BD affiliated | Vanderbilt Advisory Services BD affiliated | Affiliated broker-dealer or bank to another | Mar 12, 2026 | Mar 3, 2026 |
| Callie Noelle Gracie | Cetera Investment Advisers LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Mar 12, 2026 | Mar 2, 2026 |
| Kristopher Sean Phillips | Cetera Investment Advisers LLC BD affiliated | LPL Enterprise, LLC BD affiliated | Affiliated broker-dealer or bank to another | Mar 11, 2026 | Mar 12, 2026 |
| Michael Paul Hardy | Cetera Investment Advisers LLC BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Mar 11, 2026 | Mar 26, 2026 |
| Tuan A Ly | Cetera Investment Advisers LLC BD affiliated | Charles Fish Investments, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 9, 2026 | Mar 11, 2026 |
| Bradley Garges | Cetera Investment Advisers LLC BD affiliated | Prepared Retirement Institute LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 9, 2026 | Mar 26, 2026 |
| Rachel Schmidt | Cetera Investment Advisers LLC BD affiliated | Schwab Wealth Advisory, Inc. no RAUM | Other | Mar 9, 2026 | Jul 16, 2026 (129 d) |
| Alfredo Eduardo Linares-Coba | Cetera Investment Advisers LLC BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Mar 9, 2026 | Apr 17, 2026 (39 d) |
| Catherine Hunt | Cetera Investment Advisers LLC BD affiliated | Juno Financial Group LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 7, 2026 | Apr 16, 2026 (40 d) |
| Trenton James Fletcher | Cetera Investment Advisers LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Mar 7, 2026 | Mar 2, 2026 |
| Nicole Annmarie David | Cetera Investment Advisers LLC BD affiliated | Raymond James Financial Services Advisors, Inc BD affiliated | Affiliated broker-dealer or bank to another | Mar 6, 2026 | Mar 5, 2026 |
| Eric Fernandes | Cetera Investment Advisers LLC BD affiliated | Northwestern Mutual Investment Services,LLC no RAUM | Other | Mar 6, 2026 | Aug 13, 2026 (160 d) |
| Edward Bowman Pettegrew | Cetera Investment Advisers LLC BD affiliated | Arena Private Wealth independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 6, 2026 | Feb 26, 2026 |
| Mark Cronin Ettinger | Cetera Investment Advisers LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Mar 4, 2026 | Mar 6, 2026 |
| Victor Guadiana | Cetera Investment Advisers LLC BD affiliated | United Planners' Financial Services Of America A Limited Partner independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 4, 2026 | Mar 27, 2026 |
| William Hall | Cetera Investment Advisers LLC BD affiliated | Fisher Investments independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 4, 2026 | Mar 16, 2026 |
| George Anthony Giolekas | Cetera Investment Advisers LLC BD affiliated | Nationwide Investment Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Mar 3, 2026 | Jun 9, 2026 (98 d) |
| Bryan S Hayes | Cetera Investment Advisers LLC BD affiliated | Wealthharbor Capital Group, LLC mixed wealth | Affiliated broker-dealer or bank to independent RIA | Mar 3, 2026 | Mar 2, 2026 |
| Michael Thomas Fischer | Cetera Investment Advisers LLC BD affiliated | Wealthharbor Capital Group, LLC mixed wealth | Affiliated broker-dealer or bank to independent RIA | Mar 3, 2026 | Mar 4, 2026 |
| Grant Andrew Fossum | Cetera Investment Advisers LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Mar 2, 2026 | Mar 2, 2026 |
| Austen Joseph Leninger | Cetera Investment Advisers LLC BD affiliated | Strategic Wealth Investment Group, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 2, 2026 | Mar 27, 2026 |
3,020 moves match.