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 |
|---|---|---|---|---|---|
| Connor Maclean King | Cetera Investment Advisers LLC BD affiliated | Vanguard Advisers, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 2, 2026 | Jul 6, 2026 (126 d) |
| Hans Caparas Medina | Cetera Investment Advisers LLC BD affiliated | Pinkerton Wealth Partners independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 27, 2026 | Mar 17, 2026 |
| Timothy James Warren | Cetera Investment Advisers LLC BD affiliated | Mariner Advisor Network BD affiliated | Affiliated broker-dealer or bank to another | Feb 27, 2026 | Feb 2, 2026 |
| Andrew Michael Girouard | Cetera Investment Advisers LLC BD affiliated | Blackrock Investment Management, LLC other | Other | Feb 27, 2026 | Feb 27, 2026 |
| John Crook Gage | Cetera Investment Advisers LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 27, 2026 | Mar 20, 2026 |
| Thomas Lorenzo Bausley | Cetera Investment Advisers LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 25, 2026 | Feb 22, 2026 |
| Carla L Roik | Cetera Investment Advisers LLC BD affiliated | Legacy Wealth Group state registered | Affiliated broker-dealer or bank to a state-registered adviser | Feb 24, 2026 | Feb 23, 2026 |
| Dolly Suarez | Cetera Investment Advisers LLC BD affiliated | LPL Enterprise, LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 24, 2026 | Aug 31, 2026 (188 d) |
| Steven Robert Thomas Jones | Cetera Investment Advisers LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 20, 2026 | Feb 23, 2026 |
| William Kyle George | Cetera Investment Advisers LLC BD affiliated | Going Cpas & Wealth Advisors, Llp independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 18, 2026 | Feb 13, 2026 |
| Ronald Gahleong Kam | Cetera Investment Advisers LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 17, 2026 | Feb 10, 2026 |
| Barry Robert Cynowiec | Cetera Investment Advisers LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 13, 2026 | Feb 4, 2026 |
| Garrett Joseph Grigas | Cetera Investment Advisers LLC BD affiliated | Gevers Wealth Management no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Feb 13, 2026 | Feb 2, 2026 |
| Brandon Charles Lopez | Cetera Investment Advisers LLC BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Feb 12, 2026 | Feb 5, 2026 |
| Jonathan Drew Cohen | Cetera Investment Advisers LLC BD affiliated | Chc Financial Solutions, LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Feb 11, 2026 | Feb 9, 2026 |
| Turill Anthony Engelman | Cetera Investment Advisers LLC BD affiliated | Tactive Advisors, LLC mixed wealth | Affiliated broker-dealer or bank to independent RIA | Feb 11, 2026 | Mar 19, 2026 (36 d) |
| Tyson Eugene Brimhall | Cetera Investment Advisers LLC BD affiliated | Edward Jones national BD | Affiliated broker-dealer or bank to another | Feb 11, 2026 | Jun 10, 2026 (119 d) |
| Kenneth Lamar Walton | Cetera Investment Advisers LLC BD affiliated | UBS Financial Services Inc. wirehouse | Affiliated broker-dealer or bank to wirehouse | Feb 11, 2026 | Mar 10, 2026 |
| Ronald Dean Dawson | Cetera Investment Advisers LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 10, 2026 | Feb 25, 2026 |
| William Robert Gevers | Cetera Investment Advisers LLC BD affiliated | Gevers Wealth Management no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Feb 6, 2026 | Feb 2, 2026 |
| Niccolo Alfred Gonzales | Cetera Investment Advisers LLC BD affiliated | W&S Brokerage Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Feb 6, 2026 | Mar 23, 2026 (45 d) |
| Trey Robert Lee Gevers | Cetera Investment Advisers LLC BD affiliated | Gevers Wealth Management no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Feb 6, 2026 | Feb 2, 2026 |
| Charles Shocklee | Cetera Investment Advisers LLC BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Feb 5, 2026 | Jul 10, 2026 (155 d) |
| Peter Wright Bell | Cetera Investment Advisers LLC BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Feb 2, 2026 | Feb 5, 2026 |
| Kristopher Allen Feldmeyer | Cetera Investment Advisers LLC BD affiliated | Nationwide Investment Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 2, 2026 | Feb 23, 2026 |
| Gari Therese Semon | Cetera Investment Advisers LLC BD affiliated | Park Avenue Securities LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 2, 2026 | Apr 21, 2026 (78 d) |
| Claytor Brooks | Cetera Investment Advisers LLC BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Feb 2, 2026 | Feb 18, 2026 |
| John Patrick Sprague | Cetera Investment Advisers LLC BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Feb 2, 2026 | Mar 25, 2026 (51 d) |
| Douglas Anthony Webster | Cetera Investment Advisers LLC BD affiliated | Creative Planning independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 30, 2026 | Jan 30, 2026 |
| Evan Cole Cantalupo | Cetera Investment Advisers LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 29, 2026 | Jan 29, 2026 |
| Nicholas David Faller | Cetera Investment Advisers LLC BD affiliated | Osaic Advisory Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 29, 2026 | Dec 17, 2025 |
| Joseph Patrick Thomas | Cetera Investment Advisers LLC BD affiliated | Columbia Advisory Partners, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 29, 2026 | Feb 18, 2026 |
| Scott E Grooms | Cetera Investment Advisers LLC BD affiliated | Mercer Global Advisors Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 27, 2026 | Jun 1, 2026 (125 d) |
| Paul Edward Stafford | Cetera Investment Advisers LLC BD affiliated | Stafford Financial, LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Jan 27, 2026 | Feb 9, 2026 |
| David Brian Loftus | Cetera Investment Advisers LLC BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Jan 27, 2026 | Feb 17, 2026 |
| Sophia Tang | Cetera Investment Advisers LLC BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Jan 27, 2026 | Jul 23, 2026 (177 d) |
| Julie Ann Meyer | Cetera Investment Advisers LLC BD affiliated | Osaic Wealth, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jan 26, 2026 | Feb 2, 2026 |
| Eric S Bowen | Cetera Investment Advisers LLC BD affiliated | Ameritas Advisory Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 26, 2026 | Jan 29, 2026 |
| Robert Charles Carte | Cetera Investment Advisers LLC BD affiliated | Edward Jones national BD | Affiliated broker-dealer or bank to another | Jan 23, 2026 | Jan 21, 2026 |
| John Mack Majors | Cetera Investment Advisers LLC BD affiliated | Creative Planning independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 23, 2026 | Jan 23, 2026 |
| Ericka Butler | Cetera Investment Advisers LLC BD affiliated | Regal Investment Advisors LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 23, 2026 | Jan 26, 2026 |
| Ryan Scott Manaker | Cetera Investment Advisers LLC BD affiliated | Creative Planning independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 22, 2026 | Jan 26, 2026 |
| Larissa Rose Martinez | Cetera Investment Advisers LLC BD affiliated | U.S. Bancorp Investments, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jan 22, 2026 | Jan 26, 2026 |
| Savas Nick Constantinou | Cetera Investment Advisers LLC BD affiliated | Osaic Wealth, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jan 21, 2026 | Feb 25, 2026 (35 d) |
| Sandeep Varma | Cetera Investment Advisers LLC BD affiliated | Simplicity Wealth mixed wealth | Affiliated broker-dealer or bank to independent RIA | Jan 21, 2026 | May 27, 2026 (126 d) |
| Steven Musser | Cetera Investment Advisers LLC BD affiliated | Simplicity Wealth mixed wealth | Affiliated broker-dealer or bank to independent RIA | Jan 21, 2026 | Jul 3, 2026 (163 d) |
| Brock Martin Becker | Cetera Investment Advisers LLC BD affiliated | Creative Planning independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 21, 2026 | Jan 21, 2026 |
| John Michael Schindler | Cetera Investment Advisers LLC BD affiliated | Creative Planning independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 21, 2026 | Feb 2, 2026 |
| Phylip Charles Simmons | Cetera Investment Advisers LLC BD affiliated | Simplicity Wealth mixed wealth | Affiliated broker-dealer or bank to independent RIA | Jan 21, 2026 | Jun 10, 2026 (140 d) |
| Adam Sevier | Cetera Investment Advisers LLC BD affiliated | Simplicity Wealth mixed wealth | Affiliated broker-dealer or bank to independent RIA | Jan 21, 2026 | Jun 4, 2026 (134 d) |
| John Thomas Miller | Cetera Investment Advisers LLC BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 20, 2026 | Jan 14, 2026 |
| Bernadette Marie Strout | Cetera Investment Advisers LLC BD affiliated | Prosperity Capital Advisors independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 16, 2026 | Jan 9, 2026 |
| Marina Mccleneghen | Cetera Investment Advisers LLC BD affiliated | Global Retirement Partners LLC institutional | Other | Jan 15, 2026 | Aug 25, 2026 (222 d) |
| Robert W. Hammel | Cetera Investment Advisers LLC BD affiliated | Lincoln Investment independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 15, 2026 | Mar 20, 2026 (64 d) |
| Nathan Keith Sloan | Cetera Investment Advisers LLC BD affiliated | Independent Financial Group, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 14, 2026 | Jan 2, 2026 |
| Nicholas Stephen Lamb | Cetera Investment Advisers LLC BD affiliated | Creative Planning independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 14, 2026 | Jan 14, 2026 |
| Samuel Andrew Hawkins | Cetera Investment Advisers LLC BD affiliated | Sequoia Financial Group, L.L.C. independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 14, 2026 | Jan 30, 2026 |
| Robert John Condron | Cetera Investment Advisers LLC BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jan 13, 2026 | Jan 12, 2026 |
| Michael Schweller | Cetera Investment Advisers LLC BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jan 13, 2026 | Jan 12, 2026 |
| Quinton Edwards Libsack | Cetera Investment Advisers LLC BD affiliated | First Citizens Investor Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jan 11, 2026 | Feb 12, 2026 (32 d) |
3,020 moves match.