The Southeast saw the most October advisor transitions with 28 moves totaling at least $7.0B in client assets, followed closely by the Midwest with 25 moves ($6.8B). The Northeast was next with 21 moves ($4.8B), while the West saw 18 ($6.8B) and the Southwest nine ($2.5B).
Raymond James was again the month’s leading recruiter, adding 23 teams with a combined $6.5B in reported client assets. Nine of those teams joined from Commonwealth Financial, which saw the most defections on the month, with at least 21 teams and $6.0B of client assets departing.
Outside of advisor moves, October’s standout people moves included mega RIA Edelman Financial Engines president Ralph Haberli assuming the role of acting CEO to replace the departing Jay Shah, LPL Financial realigning its C-suite by naming Aneri Jambusaria chief wealth officer, Matthew Enyedi chief client officer, and Marc Cohen chief growth officer, and Washington, DC-based Geometric Wealth Advisors appointing former Secfi investment officer John Morrison as its first chief investment officer.
For a complete overview of October advisor moves and other people news, continue reading Dakota's roundup:
Advisor Moves
Southeast
Birmingham, AL-based OneAscent Financial reportedly added Houston-based RIA Patron Partners to its platform. Patron, which will remain independent, reported $349.2M in regulatory AUM in its Oct. 2 Form ADV. Source
J. Morgan Edwards joined Raymond James & Associates, the independent advisor channel of Raymond James. Edwards, who comes from UBS, manages $280M in client assets and will join the firm’s existing Raymond James Virginia Beach branch. Source
Four Pillars Investment Management, led by advisor John Evans, joined Osaic’s independent advisor network. The Cape Coral, FL-based firm joins from Commonwealth Financial and has approximately $143M in client assets. Source
Hurricane, WV-based advisor Brian Collins, who previously managed $540M of assets at Primerica, launched Legacy Investment Advisors & Wealth Management as an Osaic affiliate. Source
HB Wealth recruited senior wealth advisor Michael Binnicker, formerly a principal and senior relationship manager at Atlanta-based RIA Balentine. Source
Ameriprise added a $1.6B advisor team in Boca Raton, FL. Previously affiliated with Oppenheimer, The Atlantic Group has nine financial advisors and is led by founding partners Andrew Lerner and Logan Shalmi. Source
Raymond James Financial Institutions Division recruited financial advisors Thomas Vitaletti and Tommy Vitaletti to TowneBank’s Towne Wealth Management. The advisors will offer services through Raymond James Financial Services. The father-son duo is based in Williamsburg, VA, and manages $130M in client assets. They were previously affiliated with LPL Financial as part of Old Point National Bank, which was acquired by TowneBank in September. Source
Georgia-based Keaton & Sams Wealth Management launched as an independent advisory firm through a strategic partnership with Concurrent Investment Advisors. Led by founding managing partners Bill Keaton and Alfred Sams, the team oversees $1.3B in client assets, bringing Concurrent’s AUM to $15B. Previously affiliated with Raymond James & Associates, the firm has engaged Goldman Sachs Custody Solutions as custodian. Source
Gentle Family Wealth Partners, a wealth advisory in Birmingham, AL, led by Shawn Gentle, joined LPL Financial. Gentle was previously affiliated with Raymond James, where he managed $280M in client assets. Source
Boca Raton, FL-based financial advisor Patricia Selin joined Janney Montgomery Scott as executive vice president of wealth management. Selin was previously affiliated with Morgan Stanley and manages $265M in client assets. Source
Alexandria, LA-based Oestriecher Financial Management Services joined Cetera’s Avantax community of tax-focused advisors. The team, led by Anne Oestriecher, Christopher Daigrepont, and William Whisenant, comes from LPL financial, where it managed $154M in client assets. Source
Hunt Valley, MD-based Terrapin Ridge Partners joined Raymond James’ independent advisor channel Raymond James Financial Services. The team, led by Jason Bell, comes from Northwestern Mutual Wealth Management, where it managed $150M in client assets. Source
Englewood, FL-based Hinck Private Wealth Management joined Osaic from Commonwealth Financial. The team is led by CEO and founder John Hinck along with managing partners Thomas Hinck and James Hinck. Source
Financial advisory practice JMOD Financial Services joined Ameriprise Financial’s independent channel. The team, with offices in Florida and New York, is led by Joe Kelly and includes Frank Del Busto and Dave Fedrizzi. It was previously affiliated with LPL Financial, where it managed $110M in client assets. Source
Veteran Merrill Lynch Wealth Management advisor Robert Lauer and his team joined UBS in Franklin, TN, part of the firm's South market. Lauer spent over 19 years at Merrill Lynch, advising high-net-worth business owners and families on comprehensive financial planning, cash flow management, and investment matters. Source
Birmingham, AL-based financial advisors Joseph Cobb and Andrew Burns joined Raymond James’ employee advisor channel Raymond James & Associates. The team was previously affiliated with Cetera Investment Services, where it managed $130M in client assets. It will operate as Cobb Burns & Associates Wealth Management of Raymond James. Source
Topwater Capital founder and advisor Colton Lightner joined Golden State Equity Partners’ network of independent financial advisors in Osprey, FL. Lightner will custody his clients’ assets with Raymond James. Lightner previously worked as a financial planner for Four Pillars Financial Planning between November 2022 and April 2025, and before that, he worked with FourThought Private Wealth. Source
Financial advisor Roy LeBlanc joined the Ameriprise Financial practice Azalea Wealth Management in Mobile, Al. LeBlanc was previously affiliated with Wells Fargo Clearing Services, where he managed $100M in client assets. Recently, $260M Oakwood Financial Group, another Wells Fargo Clearing team, also joined Ameriprise. The practice, located in Winter Park, FL, is represented by financial advisors Mike Lloyd and Gregg Mulvany. Source
UBS added financial advisors Leon Ciobataru and Gustavo Ciobataru, formerly of Morgan Stanley, to its Florida International Market team in Miami. Ciobataru advised high- and ultra-high-net-worth clients at Morgan Stanley for 12 years, while Ciobataru worked in the global financial services segment of the bank for over a decade. Sources 1, 2
RBC Wealth Management US reportedly added James Christy as managing director, financial advisor, and portfolio manager to its Tysons, VA, office. Christy, who managed $400M in client assets, has been affiliated with Northwest Financial Advisors for 22 years. Source
Atlanta-based advisors Justin Flowers and Wally Bradley launched Flowers-Bradley Wealth Management on LPL’s Linsco employee advisor channel. The duo join from Truist, where they oversaw approximately $320 million in advisory, brokerage and retirement plan assets. Source
Mariner reportedly added two advisory teams from Carson Group and Fifth Third to its independence platform. $100M Abundant Life Financial, led by Scott Ferguson and Bryan Dearolf in Raleigh, NC, and Charlotte-based $85M Eclectic Wealth Management joined the $40B firm in October. Source
Charleston, SC-based practice R.E. Baxter and Associates, which was affiliated with Osaic, has joined Raymond James’ independent advisor channel Raymond James Financial Services. The team – led by Kevin Brown – manages $165M in client assets. Source
Vero Beach, FL-based Paul Williamson and Co. joined Raymond James’ independent advisor channel Raymond James Financial Services. The team, led by Paul Williamson and Matt Hamilton, comes from Commonwealth Financial Network, where it managed $200M in client assets. Source
Boca Raton, FL-based veteran financial advisor Lisa Armbrust joined independent wealth management firm NFSG Corp. Armbrust joins NFSG from Raymond James, and she was previously associated with Morgan Stanley. Source
UBS Wealth Management added Michael Shain to The Gallivan Group, a private wealth management team in Greenville, SC, dedicated to the South Atlantic market. The appointment marks Shain’s return to the UBS Group, following a retirement in early 2024 following a career at the Swiss financial services group that started in 1991. Source
Atlanta-based $6B independent RIA Sage Mountain Advisors added Evan Daugherty as a wealth advisor. Most recently, Daugherty worked with PNC Bank as a senior investment advisor. Source
Southwest
Scottsdale, AZ-based advisor Matthew Connell joined Raymond James’ employee advisor channel Raymond James & Associates. Sudzina, who joins the established team of Cornerstone Financial Consulting of Raymond James, comes from UMB Financial Services, where he managed $260M in client assets. Source
Southwest Wealth Strategies, an $850M+ firm based in Scottsdale, AZ, and with additional offices in Las Vegas, Albuquerque, NM, and Bozeman, MT, joined Raymond James’ independent advisor channel Raymond James Financial Services. The team – led by managing partner John Arnold and senior partners Ray Dimuzio, Mark Asher, Chris Lanier, Ben Miles, and Nick Obie – joins from Equitable Advisors. Source
Two Merrill lynch Wealth Management veterans launched their independent firm Ascend Private Wealth Partners with Kestra Private Wealth Services. The team, based in Scottsdale, AZ, is led by financial advisors David Barnett and Ashley Ament. The $866M advisory specializes in comprehensive financial planning – from investment management to tax planning. Source
Financial advisor Bryan Davidson joined UBS Global Wealth Management’s Scottsdale, AZ, office. Davidson joins UBS from BMO Investment Services. Source
Partners of Austin, TX-based Edge Wealth Advisory Group – John Edgecomb and Robb Edgecomb – joined LPL Financial’s broker-dealer and RIA platform. They reported serving $200M in advisory, brokerage, and retirement plan assets and were previously associated with Raymond James. Source
Financial Advisor Jakub Kubrak launched Kubrak Wealth Advisors in Celina, TX, affiliating with Silver Grove Advisory Services. Kubrak has previously worked with Fisher Investments, JPMorgan, and Texas Capital Bank. The firm’s services include financial planning, retirement planning, investment management, estate planning, and tax planning for business owners. Source
Ed Kreusel joined San Antonio, TX-based Sendero Wealth Management as investment advisor. Kreusel was previously the CIO and executive vice president at San Antonio-based Broadway Bank. Source
Financial advisor Richard “Rick” Salmeron joined Raymond James’ independent advisor platform, Raymond James Financial Services, operating as Salmeron Financial in Dallas. Salmeron comes from Commonwealth Financial, where he managed around $140M in client assets. Source
The Bencomo Group, a $180M practice in El Paso, TX, joined Raymond James’ independent advisor channel Raymond James Financial Services. The team, made up of financial advisors Raul Bencomo Jr. and Omar Chavez, was previously affiliated with Ameriprise Financial Services. Source
Northeast
Robertson Stephens Wealth Management crossed $8B in AUM with its latest advisor recruitments. Former Hightower affiliates Carol Nulman and Richard Lewis will lead a new office for the firm in Rhode Island as managing directors. Their team includes fellow Hightower alums Hunter Norte and Megan Grandmaison, who join as portfolio manager and VP of client service, respectively. The firm also added Leah Hokenson – formerly of Baldwin Wealth Partners – as a managing director in its New York office. Source
New York-headquartered REVUP Private Wealth joined Osaic through its office of supervisory jurisdiction New York Financial Partners. The firm is led by founder and wealth advisor Michael Grand, who was previously affiliated with Fidelity. Source
Wealth management and investment banking firm Janney Montgomery added Belice Leininger Private Wealth to its team in Pittsburgh. Comprising Allen Belice and Kaitlyn Leininger, the new team is joining from UBS Group and oversees more than $350M of client assets. Source
Raymond James added three financial advisors managing approximately $300M in client assets to the corporate RIA model of Raymond James Financial Services, its independent advisor channel. The advisors, who join from Commonwealth Financial Network, include the Pittsburgh-based team Touchstone Capital, led by Ted Kerr and including advisor Markus Williams. Source
The Lewkowitz-Gersten Wealth Management Group, a five-member former Merrill Lynch financial advisor team overseeing approximately $1B in client assets, moved to Morgan Stanley. The team, led by veterans Harry Lewkowitz and Jeffrey Gersten, joined Morgan Stanley's wealth management office on 52nd Street in Manhattan. The move is the latest in a series of defections from Merrill Lynch following a recent high-profile internal lawsuit. Source
Wealth advisors Jennifer Votano and Evelyn Pepe joined the family office team of Boston-based independent wealth management firm RWA Wealth Partners. Votano previously held advisor roles at Clarfeld | Citizens Private Wealth and New England Private Wealth Advisors, while Evelyn was most recently a senior private wealth advisor at Clarfeld | Citizens. Source
Saratoga Springs, NY-based financial advisors Stephen Carleton and Tom Niles joined LPL Financial’s employee advisor channel Linsco by LPL Financial to launch Paddock and Pine Wealth Partners. The duo joins LPL from Janney, where they managed $330M in advisory, brokerage, and retirement plan assets. Source
Flemington, NJ-based financial advisor Michael Salerno joined Raymond James’ independent advisor channel Raymond James Financial Services. Salerno, who leads Executive Wealth and Retirement Strategies, comes from Commonwealth Financial Network, where he managed $125M in client assets. Source
Six financial advisors from Ludlow, MA-based Pioneer Valley Financial Group joined Raymond James’ independent advisor channel Raymond James Financial Services. The group, led by managing partner Edward Sokolowski, come from Commonwealth Financial Network, where it managed $660M in client assets. Source
Cetera’s Summit Financial Networks added Manalpan, NJ-based King Financial Network, a former Commonwealth Financial-affiliated multifamily office with $1.1B in assets under administration. King Financial is led by its founder Jim King Jr., and partners Tony Kelly and A.J. Vignola. Source
Commonwealth Financial added Saratoga Springs, NY-based Vahanian & Associates Financial Planning to its independent advisor network. The firm – which is led by CEO Jeffrey Vahanian, chief compliance officer and CFO Bonnie Bryce, and chief strategy officer and wealth advisor Cameron Corsi – joins from Osaic, bringing almost $230M in client assets. Source
Independent Financial Group added former Commonwealth Financial affiliates Makino Financial – led by Frances Makino – and financial advisor Karen Brelsford, both based in the Greater Baltimore area. The recruitments add a combined $175M in client assets. Source
Two former Hightower advisors joined Robertson Stephens in South Kingstown, RI. Carol Nulman and Richard Lewis, who are managing directors at their new firm, were previously part of The Nulman Group, which was affiliated with Hightower. Source
Financial advisors Thomas Kinslow and Brian Sanford joined Commonwealth-affiliated firm Union Street Financial in Kennett Square, PA. The advisors were previously affiliated with Morgan Stanley and managed $350M in client assets. Source
New York-based Evercore Wealth Management appointed Kait Oliveira as managing director and portfolio manager. Oliveira, who advises ultra-high-net-worth families, business owners, financial professionals, and senior corporate executives, comes from Clarfeld Wealth Partners at Citizens Private Wealth, where she served as an investment manager and a private wealth advisor. Source
Frank Mezzanotte Jr.’s FDM Wealth Management, a financial advisory firm with more than $126M of AUA, joined Cetera Financial Group’s Cetera Financial Institutions community from LPL Financial. Based in Long Island, Mezzanotte’s clients are spread across the US, with concentration in the greater New York City area. Source
Carnegie, PA-based Strategic Path Retirement joined Mariner Independent, the 1099 platform of Overland Park, KS-based Mariner, according to $5.6B Mariner Independent's latest Form ADV. Strategic Path was previously affiliated with Commonwealth Financial, according to its LinkedIn profile. The team is led by advisor Brian Hill. Source
Wealth management firm Cary Street Partners added financial advisor Michael Saul as a managing director in its Morristown, NJ, office. Saul, most recently affiliated with Purshe Kaplan Sterling Investments and Transcend Capital Advisors, is a Merrill Lynch veteran who spent more than 20 years with the bank. Source
Midwest
Cleveland-based RIA OneSeven said it added $2.1B in AUM in the third quarter – pushing it beyond $8B – following the recruitment of 7 teams and 25 advisors. The firm highlighted advisors Johnathan Breen and Jeanne Hagar, as well as Ohio-based The Hamilton Group, OnPoint Wealth Partners, Giltner & Associates, and Martz Financial, along with NY-based Alta Vera Global Capital Advisors, as key additions. Source
Former Commonwealth Financial advisor Christian Benard and his Innovative Financial team joined Avantax, Cetera's tax-focused channel. The Troy, MI-based firm has approximately $365M million in assets under administration. Bernard said the option to continue using Fidelity's NFS custody and clearing service was a key factor in choosing to affiliate with Cetera. Source
St. Paul, MN-based independent wealth management firm Gallagher Financial Services joined Osaic. Led by Mark Gallagher, the $194M firm had been affiliated with Commonwealth Financial for 31 years. Source
Lee’s Summit, MO-based Friedline Financial joined Raymond James’ independent advisor channel Raymond James Financial Services. Led by Kirk Huismann, the team was previously affiliated with Commonwealth Financial, where it managed $144M in client assets. Source
VestGen Wealth Partners launched a new division, VestGen Retirement Services, as part of its expansion into the retirement-plan market. VestGen Retirement Services will serve as the foundation for a broader, fully integrated solution for plan sponsors and participants – from plan design and fiduciary oversight to participant education and wealth transitions. Further, an Oak Brook, IL-based team led by veteran advisor Bob Greulich that manages $662M in client assets and was most recently associated with Osaic has joined VestGen "to help shape this expansion." Source
Raymond James added four-advisor team KCH Financial to the corporate RIA model within Raymond James Financial Services, its independent advisor channel. Led by Brian Keister, the Bethalo, IL-based team, including Jody Chiapelli, Sara Hinthorne, and Joshua Keister, joins from Commonwealth Financial Network, where it managed approximately $357M in client assets. Source
Former Choreo wealth advisor Tracey Richardson joined Chesterfield, MO-based Aul Financial Group. Richardson brings 22 years of financial experience, operating in the Greater St. Louis area, including one year as director of planning at Socium Advisors and five years at AIG Retirement Services. She was also previously affiliated with Larson Financial, e3 Wealth, and Edward Jones. Source
Clayton, MO-based advisory firm &Partners added the Mannen Financial Group, which manages $640M of assets. Led by Elizabeth Mannen Berges and Clyde Pilkington, the team was formerly part of Wells Fargo Advisors’ private client group channel. Source
Red Wing, MN-based Endurance Wealth Management joined Raymond James’ independent advisor channel Raymond James Financial Services. The team includes advisors Timothy Kelly and Coleman Kelly and was previously affiliated with LPL Financial, where it managed $250M in client assets. Source
Mueting Lyczak Group joined UBS Global Wealth Management’s UBS Great Lakes Wealth Management Market team in the firm’s new Ann Arbor, MI, office. The team joins from Merrill Lynch and includes advisors Mark Mueting, Dan Lyczak, and Dan Fisher. Source
Olathe, KS-based financial advisors Brett Flood and Tony Cox joined Raymond James’ independent advisor channel Raymond James Financial Services. The advisors, who were previously affiliated with LPL Financial, managed $170M in client assets. Source
Sparta, IL-based First National Bank of Sparta selected Raymond James’ financial institutions division to support the bank’s investment program, Patton Wealth Management. Patton Wealth, which was previously affiliated with Commonwealth Financial, is led by financial advisor Brian Patton, who manages $261M in client assets. Source
VestGen Wealth Partners added six wealth management practices with 15 advisors and $1.5B in client assets to its platform. Ursula Daley – formerly with Commonwealth Financial – heads an all-female team in Oak Brook, IL, focused on institutional clients with $410M in assets; Michael Moloney – formerly of Cambridge Investment Research – leads a $400M St. Louis-based team; Michael Martin – formerly with LPL Financial – oversees a six-person Kansas City, MO, team with $280M; in Chicago, Jeff Lesniewicz and Brian Ahern – formerly of Raymond James – co-lead a $250M practice dedicated to supporting the wealth management needs of athletes; John Straley, formerly affiliated with World Equity Group and based in Chicago’s northwest suburbs, manages $219M in assets through a practice offering holistic wealth, asset, and insurance management; and Jon Lewis – formerly of Commonwealth – manages $60M in assets while serving clients across Florida and Michigan. With these deals, VestGen will manage a total of $7B in assets. Source
New Philadelphia, OH-based private wealth advisory practice Kendall Wealth Management joined Ameriprise Financial’s independent channel from Edward Jones. The family-run practice, which has $300M in client assets, is led by private wealth advisor Kiley Kendall and includes financial advisors Mitch Kendall and Kyle Kendall. Source
Rockefeller added a solo practitioner in Michigan, Scott Picklo, with $300M in assets. Source
West
Irvine, CA-based $200M advisory Behrle | Bergin joined boutique wealth management firm Prospera Financial Services. Steven Behrle and Joe Bergin, managing directors of the firm, were previously affiliated with B. Riley Wealth Advisors. Source
David Mercer, founder of Bellevue, WA-based Mercer Asset Management, joined Winthrop Wealth’s Keel Financial Partners as a wealth advisor. With offices in Bellevue and Bellingham, WA, the Keel team serves high-net-worth families and individuals across the US. Source
Raymond James added Eagle Peak Wealth Management in Longmont, CO, led by advisor Tim Menefee. Source
U.S. Bank’s private wealth management division appointed Andrew Barrier as a private wealth advisor in Irvine, CA. Barrier was most recently director of commercial and strategy at Newport Beach, CA-based Project FoodBox, and he was previously affiliated with Weaver Consulting Group and Securian Financial Services. Source
Evergreen, CO-based financial advisor Randolph Huiting, operating as Huiting Wealth Management, joined Raymond James’ independent advisor channel Raymond James Financial Services. Huiting comes from Wells Fargo Financial Network where he managed $227M in client assets. Source
Merrill Lynch reportedly lost a $1B advisor team to Wells Fargo Advisors, as managing director and private wealth advisor Hyeon Kang and his group made the move to Wells Fargo’s Private Client Group in Bellevue, WA. The team includes advisors Larry Dime, Hung Tran, and Joe Osborne. Source
Bryan White joined Centennial, CO-based Centennial State Wealth Advisors, a part of Raymond James Financial Services – Raymond James’ independent advisor channel. White comes from UBS Financial Services, where he managed $180M in client assets. Source
Denver-based independent RIA Crusonia Wealth Advisors added Gary Wagner as a partner and senior wealth advisor and Amy Warrender as a wealth advisor. Most recently, Wagner was co-founder and a managing director of Private Capital Management. He was also the CEO and co-founder of Wagner Wealth Management. Warrender was previously a senior financial planner at Private Capital Management. Source
Veteran Commonwealth Financial advisor Gigi Schneppat joined Arizona-based Cetera affiliate Ironwood Family Wealth Advisors, which is part of the Cetera Investors community. Schneppat has $60M in assets under administration. Source
Seattle-based Pillar Financial Group, which has $1.8B in assets under administration including $500M in retirement plan assets, joined Cetera. The 34-member advisory team, led by CEO Luke Madsen and six partners, comes from Northwestern Mutual Investment Services. The multigenerational fiduciary firm serves individuals, families, and businesses. Source
Five advisors from San Diego-based The Manning Companies joined Raymond James’ independent advisor channel Raymond James Financial Services. The team, which is made up of Michael Manning, William Corder, Roger Groves, Heather Nicholas, and Richard Carlquist, join from Commonwealth Financial Network, where it managed $1.1 billion in client assets. The advisors specialize in providing wealth management to high-net-worth clients and retirement solutions for employers, employees, and executives. Source
Medford, OR-based Pilot Rock Financial Advisors joined Osaic’s network of independent advisors. The advisory team, with $453M in client assets, includes Nathan Salhus, Mark Degner, Richard Wilson II, Brian Griffith, Nicolas Nachbur, Ryan Westfall, Robert Cavens, and Ryan Wilson. Pilot Rock joins Osaic from Ameriprise Financial. Source
Advisor Greg Powers – with offices in Scottsdale, AZ, and San Diego – transitioned from TritonPoint Wealth to TritonPoint Partners, an affiliated advisor-owned platform launched earlier this year with support from Dynasty Financial Partners. Powers oversees around $280M in client assets. Dynasty Investment Bank served as exclusive financial advisor to TritonPoint Partners. Source
Ducere Wealth Management added Jack Stemper as a senior wealth advisor. Stemper has been affiliated with Irvine, CA-based First Foundation Advisors since 2000. Source
The Williams team from Aveo Capital Partners is joining Moneta Group Investment Advisors' new Denver Tech Center office in Colorado. The team, led by partner Chad Williams and advisors Zach Heath, and Brian Eller, manages $262M in assets. Source
Raymond James has added financial advisors Trevor Becker and Peter Kotkas to its Raymond James Financial Services independent advisor channel. The duo operates as Noble Investments, with offices in White Salmon, WA, and Portland, OR, and join from Commonwealth Financial Network, where they managed approximately $200M in client assets. Source
Rockefeller Capital Management recently added Los Angeles-based The Vu Group, led by advisors Paul Ubanek, Austin P. Liu, and Jacqueline L. Riggs. The former Morgan Stanley team managed $1B and generated $6M in annual revenue. Source
Los Angeles-based Robert Roman, former president and CEO of MGO Private Wealth, joined investment-focused $5B multifamily office GenTrust as principal and senior client advisor. Roman's clients include several entrepreneurs, as well as prominent figures from the sports and entertainment industries. Source
Other People Moves
Digital family office Compound Planning named co-founder Alex Farman-Farmaian as its sole CEO. Farman-Farmaian, who had shared the CEO with Christian Haigh since March, takes over as Haigh transitions to executive chairman and president. Source
Dynasty Financial Partners added equity compensation plan veteran Brian McDonald as a senior advisor to the firm. McDonald brings decades of leadership experience from Morgan Stanley, where he served as managing director overseeing workplace financial solutions, equity compensation, and retirement benefits. Dynasty will also take a minority stake in Grantd, an AI-driven equity compensation advice platform that McDonald recently launched. Source
Dallas-based Thryve Wealth Management named investment management executive Randol Curtis as co-founder and CIO. Curtis was previously CIO of the wealth management business at Strive Inc. Thryve Wealth launched as an independent RIA after spinning off from the RIA arm of former Republican presidential candidate Vivek Ramaswamy’s crypto-focused asset manager Strive Asset Management. Source
Chicago-headquartered wealth management firm The Mather Group appointed John Laurito as chief growth officer. Laurito, who was most recently a senior vice president at Lincoln Investment leading the firm’s independent distribution channel, will be responsible for driving new client acquisition, expanding internal and external referral networks, and accelerating Mather’s AUM growth. Source
Bluespring Wealth Partners appointed William Salmen as head of mergers and integrations. Salmen was previously vice president of acquisitions and business development at Galway Insurance Holdings. The firm also appointed Jonathan Ballenger and Tyler Schlater as regional business development directors. Ballenger was previously regional sales director at Morningstar Investment Services, while Schlater was managing director for external wholesaler at Pacer ETFs. Source
Multi-family office Certuity appointed Giuliano Celle as managing director and head of institutional wealth. Celle will be based in New York and was most recently managing director of global family and institutional wealth for Latin America and international at UBS Group, having previously serving as global investment opportunities group lead for Latin America and select international offices at JPMorgan. Source
Independent wealth management firm Brighton Jones appointed Jessica Andrews as the general manager of Lenora Family Office, Multi-Family Office and Impact. Lenora is the firm's dedicated offering for ultra-high-net-worth families focused on integrating wealth, purpose, and impact initiatives. Andrews has two decades of experience advising prominent families in the Pacific Northwest. Source
Carmel, IN-based Oxford Financial Group appointed Russ DeLibero as its new chief wealth planning officer. Bringing over 20 years of experience advising ultra-high-net-worth families, DeLibero will lead estate and wealth planning initiatives and provide strategic direction to the firm’s Family Office Services Technical team. He previously served as vice president at Goldman Sachs' Asset and Wealth Management division, specializing in trust, estate, tax, and insurance planning. Source
Rapid City, SD-based Wealth Advisors Trust Company named Jonathan Connolly as president and COO. Connolly, who is tasked with leading the company’s national expansion, was most recently CEO of Wealthspire Trust, with experience across his career building fiduciary platforms that serve UHNW families, family offices, and institutional partners. Source
Hightower Advisors firm Highland Private Wealth Management, based in Bellevue, VA, named Evan Wirkkala CIO. Wirkkala’s previous experience includes being a partner at impact investment firm Clear Coast Partners and CIO at 30 North Group. Source
KKR- and TA Associates-backed Söderberg & Partners appointed Keith Furniss, formerly a director at UK-based wealth management and investment platform Wealthtime, as its new chief commercial officer. Furniss is set to oversee the firm’s business strategy and leverage its in-house platform. Source
Geometric Wealth Advisors, a Washington, DC-based, fee-only financial advisory firm managing $1.3B, appointed former Secfi investment officer John Morrison as its first chief investment officer. Prior to Secfi, Morrison spent seven years as an investment strategist at Dimension Fund Advisors. Source
Roger Ochs, who took over as president of Chicago-based RIA Choreo in February, has reportedly stepped down from the role and returned to the firm’s board. Ochs is the former president and CEO of H.D. Vest Financial Services, a tax-focused broker/dealer later acquired by Avantax. Choreo has not yet named a successor. Source
Canadian independent wealth management firm Nicola Wealth hired Yannick Archambault as president of private wealth and Abi Coman-Walker as COO. Archambault was most recently partner and head of family office and private clients at KPMG. Coman-Walker has over two decades of leadership experience in operations and transformation across financial services and biotechnology and joins from Acuitas Therapeutics, where she worked as COO. Source
Raymond James appointed seasoned wealth management industry professional Theresa Schnetz as western division director of its independent advisor channel Raymond James Financial Services, succeeding Bill Counsman. Schnetz, who has over 35 years of experience in the industry, joins from Merrill Lynch, where she most recently led the Sacramento, CA-area market. She has previously worked at Ameriprise, WM Group of Funds, Principal Funds, and Ivy Funds as well. Source
Cleveland-based MAI Capital Management promoted Albie MacDonald to president and managing partner of wealth management. MacDonald, who joined the firm in 2009, was previously senior managing director of wealth management and president of advisor referral program. Source
Mega RIA Edelman Financial Engines CEO Jay Shah is reportedly departing after spending over two years with the $308B firm. The firm’s president, Ralph Haberli, will become acting CEO, effective immediately. Shah will stay with the firm in an advisory capacity until 2025-end. The news follows the reported halt of Edelman's efforts to find a buyer. Source
Retired Morgan Stanley managing director Sean Kelly joined Rothschild Wealth Partners as vice chairman of its board to guide the firm's growth and development. Kelly, spent over 30 years in leadership and advisory roles at Morgan Stanley, including being a co-founder of a $2B private wealth advisor team and a regional manager. Source
$30B RIA Sequoia Financial Group made several leadership changes. Chief compliance officer Annie McCauley has been appointed president, effective Feb. 1, 2026, taking the role from Tom Haught, the firm’s founder, chairman and CEO. Haught will shift his focus from day-to-day operations to long-term enterprise strategy, growth partnerships, and capital formation. Chris Thom, currently chief strategy and partnerships officer, will assume the role of chief growth officer, and Joe Glick, the firm’s COO and CFO, will expand his responsibilities to include oversight of investment research. Source
San Antonio-based independent, partner-led advisory firm Sendero Wealth Management, which has $6.9B in assets under advisement, appointed Ian Sale as partner, president, and COO. Most recently, Sale served as COO and chief technology officer at Victory Capital. Source
Axxes Capital, a private markets investment firm that provides wealth advisors and their clients access to private markets solutions, appointed Arun Kaul as chief investment strategist. Kaul founded Boutique CIO, where he also currently serves as president and CIO. Source
SageView Advisory Group president Jon Upham will lead the combined retirement solutions division at Creative Planning following the latter’s acquisition of SageView. Upham, who joined SageView in 1999, helped grow the firm from less than $500M in assets under advisement to $250B in combined AUA/AUM as of June 30. In his new role, Upham will oversee the integration and expansion of Creative Planning’s retirement solutions business, which will serve more than 80,000 private wealth clients and 11,800 retirement plans across all US states and 90 countries. Source
Beachwood, OH-based Stratos Wealth Holdings appointed Charis Jones as COO and head of supervision. Jones will oversee the firm's advisory operations and supervision departments, as well as Stratos Investment Management, the firm's affiliated sub-advisor. She joins Stratos from Hightower, where she was chief compliance officer of Hightower Securities and executive director of compliance at Hightower Advisors. Source
M&T Bank division Wilmington Trust promoted Marguerite Weese as chief wealth strategist. Weese previously served as COO of the Wilmington Trust Emerald Family Office & Advisory. Source
New York-based alternative investment firm New Mountain Capital appointed William Dunigan as a managing director and head of wealth solutions. Dunigan, who was previously a senior member of BlackRock’s strategic accounts team, will lead distribution and business development efforts within the US wealth market for New Mountain. Source
Iselin, NJ-based Provident Bank appointed Annamaria Vitelli to the newly created role of EVP and chief growth officer of its Beacon Trust wealth management unit. Vitelli previously served as head of PNC Private Bank’s Hawthorn segment, which focused on UHNW clients. Source
Truist Financial bolstered its wealth management leadership in Texas with three new appointments. Joe Levi, formerly a managing director for Truist Wealth in Nashville, takes on the role of regional managing director for North Texas, while Erik Carrington joins the company from Hancock Whitney as regional managing director for Houston and Central Texas. In its Premier Banking division, the company named Ryan Thompson – previously a senior advisor – as a region director for Texas. Source
World Insurance Associates division World Investment Advisors appointed wealth management industry veteran Edward Walters as president to oversee the firm’s operations, growth initiatives, and advisor and client experience platforms and announced CEO Troy Hammond will step down at the end of the year. Walters, who has held leadership positions at firms including Lincoln Financial Group, T. Rowe Price, Janney Montgomery Scott and Ferris Baker Watts, was most recently the COO and head of wealth management Osaic FA and FS. Source
Industry veteran Paul Polese joined Cetera Financial as community leader of its RIA Blueprint platform, which is a part of the firm's multi-affiliation model. Polese, who founded BCA Consultants to help advisors transition to independence, has previously held senior-level sales and relationship management roles at Pershing, Charles Schwab, and Fidelity. Source
LGT Wealth Management CEO Ben Snee is stepping down, with plans to hand the top spot over to LGT Private Banking executive Heinrich Henckel in early 2026. Henckel has been with LGT since 2009 and served as CEO of LGT Bank Switzerland for a decade, ending in 2023, before moving over to the senior management board of LGT Private Banking. The firm said Henckel is expected to serve as CEO of the wealth management business “for the next two to three years,” to assist in “a smooth transition to a permanent successor.” Source
Columbus, Ohio-based Northwest Bank named Matthew Bower as managing director, wealth management. In the newly created role, Bower will focus on enhancing the bank’s offerings, including private banking, investment management, estate planning, and trust services. Most recently, he served as executive vice president and chief wealth officer for C&N Bank. Source
Baltimore-based Capital Financial Partners appointed Michele Beernink as director of private wealth services. Most recently, she was director of private wealth services for Verdence Capital Advisors. Source
Wealth Enhancement has appointed Colorado-based Sam Khan as regional vice president in new client development. Khan joins from The Mather Group, where he was director of business development, and before that spent over five years as a regional vice president with Mercer Advisors. He began his career in 2015 with Oppenheimer Funds. Source
LPL Financial realigned its C-suite, naming Aneri Jambusaria chief wealth officer, Matthew Enyedi chief client officer, and Marc Cohen chief growth officer, with each retaining their group managing director roles, according to the firm’s website. Jambusaria joined LPL in 2020 as executive vice president of strategy and new ventures. In 2021, she transitioned into an expanded role leading business solutions. Enyedi previously led the firm’s service and supervision organization as well as LPL Business Solutions, while Cohen joined LPL in 2018 to lead the firm’s development of new advisor affiliation models. Source
Hybrid RIA platform RFG Advisory named Ed Swenson as president. Swenson, who has been on the firm’s board for the last two years, co-founded Dynasty Financial Partners and most recently led RIA Solutions at Osaic. Source
Raymond James named Doug Brigman president of asset management services. Brigman, who has held leadership roles at the firm since 2008, succeeds Erik Fruland, who will shift into an advisory role ahead of his retirement. The firm’s asset management services unit provides portfolio options for both individual and institutional investors. Source
