October 02, 2025
The Northeast saw the most September advisor transitions with 21 moves totaling at least $5.9B in client assets, followed closely by the Southeast with 20 moves ($5.2B). The West was next with 15 moves ($3.8B), while the Midwest saw 11 ($2.6B) and the Southwest seven ($2.4B).
Raymond James was again the month’s leading recruiter, adding 22 teams with a combined $4.7B in reported client assets. Nine of those teams joined from Commonwealth Financial, which saw the most defections on the month, with at least 19 teams and $2.7B of client assets departing.
Outside of advisors, September’s standout people moves included Hightower Advisors naming Randy Bullard head of investment management; J.P. Morgan Advisors naming Molly Colavita as CEO; $9.5B RIA Composition Wealth appointing Nate Angelo as CEO; and U.S. Bancorp appointing industry veteran Jodi Rolland as president of its Affluent Wealth Management division.
For a complete overview of September advisor moves and other people news, continue reading Dakota's roundup:
Annapolis, MD-based First Reserve Financial Services, led by advisor Scott Robinson, joined Raymond James’ independent advisor channel Raymond James Financial Services. Robinson comes from Commonwealth Financial, where he managed $126M in client assets. Source
LaGrange, GA-based True North Wealth Advisors joined Raymond James’ independent advisor channel Raymond James Financial Services. The team, led by Aaron Mabon and Summer Deal, comes from Commonwealth Financial Network, where it managed $190M in client assets. Source
Barry Jay Dekreek, an Atlanta-based wealth manager and a former pro golfer, moved his advisory practice to Cetera’s community of tax-focused financial professionals, Avantax. Dekreek was previously affiliated with LPL Financial. Source
Veteran Pittsburgh-based financial advisor Tim Semke joined Kestra Private Wealth Services’ independent financial professionals community in partnership with affiliate Kindred Wealth Partners. Semke, who brings $185M in client assets, specializes in complex financial planning with expertise in corporate benefits and tax planning. He previously worked at Goldman Sachs Ayco as vice president of financial counseling. Source
Tysons, VA-based The Capitol Bay Group joined LPL Financial affiliate firm Upstream Investment Partners. The team, led by John Yetman and Manish Mukhi, comes from Ameriprise, where it served $375M in advisory, brokerage, and retirement plan assets. Source
Mooresville, NC-based Johnson Private Wealth joined Raymond James’ independent advisor channel Raymond James Financial Services. The team, led by Ben Johnson, comes from Edward Jones, where it managed $140M in client assets. Source
Greenville, SC-based independent practice Ox Road Capital joined LPL Financial platform LPL Strategic Wealth. The team, led by Jeffrey S. Allen, Steve N. Armaly, Brian A. Blackburn, and Michael S. Lee, was previously affiliated with UBS. The team reported serving approximately $1.25B in advisory, brokerage, and retirement plan assets. Source
Miami-based advisor Miguel Garcia joined Raymond James’ employee advisor channel Raymond James & Associates. Garcia comes from Oppenheimer & Co., where he managed $265M in client assets. Source
A Stuart, FL-based UBS Financial Services duo joined Raymond James’ employee advisor channel Raymond James & Associates. The team, consisting Martin Sloane and Thomas Sloane, will operate as Sloane Square Wealth Management of Raymond James, and previously managed $320M in assets. Source
A Morgan Stanley team managing $350M in client assets joined multi-custodial RIA SpirePoint Private Client, raising its AUM to $1.5B. The team includes R. Jamie Marceaux, Robert Scarborough, Kim Orsi and Amani Gaballa. With the addition of the new team, the firm opened a new office in Palm Beach Gardens, FL. Source
Rockledge, FL-based Eightysecond Capital Partners, led by financial advisor Gregory Phelps, joined Raymond James’ independent advisor channel Raymond James Financial Services. Phelps joins from Edward Jones, where he managed $260M in client assets. Source
Financial advisors Troy J. Aucoin, Jill Blair, and Patrick Dill joined Raymond James’ independent advisor channel Raymond James Financial Services to form Aucoin Wealth Management in Baton Rouge, LA. Aucoin and Dill arrive from Commonwealth Financial Network, while Blair joins from Morgan Stanley. The team collectively managed $156M in client assets. Source
Tupelo, MS-backed Rose & Gaines Wealth Group joined Raymond James’ independent advisor channel Raymond James Financial Services. The team, which includes Jim Rose, Tony Gaines and Shye Link, comes from Wells Fargo Advisors, where it managed $415M in client assets. Source
Morgantown, WV-based, $460M Virtus Wealth Solutions joined Osaic’s Supported Independence (W-2) channel. The all-women team of advisors was previously affiliated with Commonwealth Financial Network. Source
Shaun Rowles, who managed $218M in client assets, reportedly joined Wells Fargo’s bank brokerage unit, Wealth Brokerage Services, in Nashville, TN, from UBS.
Kestra reportedly recently recruited three advisor teams from Commonwealth Financial in Florida: Thomas Savone & Associates in Bunnell, Excella Wealth Consulting in Largo, and HFG Wealth Advisors in Ponte Vedra Beach. Source
St. Louis-based &Partners reportedly recruited Valdosta, GA-based The Kerrigan Group, which has $250M in AUM and joins from LPL Financial. It is led by founder and partner Dan Kerrigan and advisors Shannon Burnett-Fernandez and Kaleb Cowart. Source
Boston-based financial advisors Marcus Papajohn and Kevin O'Sullivan launched their firm Boston Wealth Advisory Group with wealth management platform Diversify. The team, which manages $170M in client assets, joins from Commonwealth Financial Network. Source
New York-based IDB Lido Wealth, a joint venture between IDB Bank and Lido Advisors, added Drew Graves as senior vice president and senior wealth manager. Most recently, Graves worked at J.P. Morgan, where he specialized in private client and small business relationship management. Source
Central Connecticut-based financial advisor Ed Callahan joined Overland Park, KS-based RIA Prime Capital Financial. Callahan comes from Edelman Financial Engines, where he worked as a director of financial planning. Source
White Plains, NY-based financial advisor Joanna Cecilia-Fleming joined Prime Capital Investment Advisors. The move enhances the Overland Park, KS-based firm’s Northeast presence. Cecilia-Fleming – who was most recently affiliated with Edelman Financial Engines – has over two decades of experience, guiding individuals, families, and business owners. Source
Portsmouth, NH-based financial advisor Richard LeSavoy joined Sanctuary Wealth’s network through partner firm Centeras Private Wealth. With the addition of LeSavoy, who was previously affiliated with Lincoln Investment, Centeras will manage $175M in total client assets. Source
Financial advisor Craig Slater joined Raymond James’ independent advisor channel Raymond James Financial Services. Slater comes from Morgan Stanley, where he managed $120M in client assets. He joins the North Atlantic Investment Partners team in Newton Lower Falls, MA. Source
The $235M, Rochester, NY-based advisor duo of Rick Dougherty and Alecia Dougherty, formerly Naviter Wealth, has joined Uniting Wealth Partners, an RIA succession incubator backed by Wealth Advisor Growth Network. With the move, the duo will be majority owners of their practice while also securing ownership of the holding company. Source
A Red Bank, NJ-based advisory team joined LPL Financial’s broker-dealer and RIA platform to launch Lighthouse Private Wealth. The team, which includes DJ Totland and Christopher Meyer, is supported in the move by Rob Tendler and the Harbor Lights Financial Group team – an existing firm supporting LPL-affiliated advisors. Lighthouse Private Wealth was previously affiliated with RBC and reported serving $1.1B in advisory, brokerage, and retirement plan assets. Source
Capital Wealth Management joined Raymond James’ independent advisor channel Raymond James Financial Services from Commonwealth Financial Network. The team, which comprises Tom Hine, Jordan Hickey, Kelsey Conklin, and Michael Nicoletti, has offices in Glastonbury and Wilton, CT, and previously managed $411M in client assets. Source
Peapack Private Bank & Trust named Robert Melle as senior managing director and senior financial advisor in its wealth management division. Melle, who will be based in New York City, was previously with Charles Schwab for about 16 years, where he was a vice president and financial consultant, serving HNW and UHNW clients. Source
Veteran financial advisor Kevin Carey joined RBC Wealth Management in its New York City office as a financial advisor and managing director. Carey comes from J.P. Morgan, where he reportedly managed $1B in client assets. Source
Ballston Lake, NY-based Tennant Financial joined LPL Financial’s broker-dealer and RIA platform. The team, led by Steven Tennant, Jeremy Berry, and Ryan Wade, primarily serves high-net-worth families, corporate executives, business owners, and medical professionals, as well as individuals. Tennant Financial joined LPL from Northwestern Mutual and reported serving $1.3B in advisory, brokerage, and retirement plan assets. Source
Four financial advisors from Compass Investment Management joined Raymond James’ independent advisor channel Raymond James Financial Services. The group, which includes Gary Bragg, Colby Dionne, Daniel Espenscheid, and Michael Nerney, operates offices in Lewiston and Bangor, ME. The team was previously affiliated with Commonwealth Financial Network and managed $350M in client assets. Source
AFC Planning Group, a two-person advisory team in Melville, NY, with $110M in assets under advisement, joined Osaic’s office of supervisory jurisdiction Affiliated Advisors. The team, made up of managing partners Lou Addesso and Frank Fattizzi, was previously affiliated with LPL Financial. Source
New Haven, CT-based Raymond Wealth Advisors joined Raymond James’ independent advisor channel Raymond James Financial Services. The team, led by Michael Raymond and Christopher Raymond, comes from LPL Financial, where it managed $100M in client assets. Source
Bethesda, MD-based Seventy2 Capital Wealth Management added two Morgan Stanley veteran advisors to its team. The independent wealth management practice appointed James Shea as senior vice president, financial advisor and senior portfolio manager, and David Waite as vice president and financial advisor. Shea brings nearly three decades of financial advisory experience and most recently served as vice president and financial advisor at Morgan Stanley, while Waite had been with the investment bank and financial services company since 1987. Sources 1, 2
Kestra reportedly recruited The Wealth Transition Collective in Holyoke, MA, and Evergreen Financial Associates, with offices in Ramsey, NJ, and Scottsdale, AZ. Both firms came from Commonwealth Financial. Source
Wells Fargo reportedly recruited East Windsor, NJ-based Edward Guerin from JPMorgan, where he managed $235M in client assets. Source
Fulton Financial unit Fulton Private Bank expanded its wealth management teams in Baltimore, Washington, and Pennsylvania’s Lehigh Valley area. In Baltimore, the bank added Michael Shore as vice president and senior wealth planner, who previously worked with RKL Private Wealth. The bank appointed Michael Emmet as senior vice president and senior portfolio manager at its Washington team. Emmet has held investment advisor roles at PNC Private Bank, Bessemer Trust and Legg Mason Investment Counsel. Fulton Private Bank appointed Richard Scott and Kyle Kocher to its Lehigh Valley area team. Scott is a senior vice president and wealth advisor, who joins from Wilmington Trust, while Kocher is a senior vice president and senior portfolio manager, who has previously worked in investment market manager and advisor roles at PNC Bank and Wells Fargo Private Bank. Sources 1, 2
St. Louis-based &Partners reportedly added Oil City, PA-based Forge Point Advisors, which has $600M in AUM and comes from Raymond James & Associates. The team is led by partners and managing directors David Gunter and Steve Uzonyi and includes advisor Alex Gunter. Source
An advisor duo from Wenatchee, WA, joined Raymond James’ independent advisor channel Raymond James Financial Services. The team, consisting of Jamie Hampton and Eric Leonhardt, moves from CliftonLarsonAllen Wealth Advisors, where it managed $170M in client assets. Source
Sacramento, CA-based team of five UBS advisors launched independent practice Decorum Wealth Management with LPL Financial's supported independence model LPL Strategic Wealth. The team, which comprises Ronald Ewing, Edward Macha, Alex Pittz, Brian Gudgel, and Andrew Curiel IV, reported serving $1.8B in advisory, brokerage, and retirement plan assets. Source
Nine advisors and portfolio managers reportedly left the Teachers Insurance and Annuity Association of America’s RIA unit Advice and Planning Services to join One Capital Management, a $7.2B RIA in Southern California, with the hires spread across multiple locations. Managing director James Nitchke, executive director and senior portfolio manager Derek Schwartz, and managing director and senior portfolio manager Tim Sheldon joined the firm in Denver; advisors Nick Gardner and Matt Stephenson joined as managing directors in in Walnut Creek, CA, along with senior portfolio manager Adele Young; advisor Zack Stein took the role of managing director in in Westlake Village, CA; and advisors Sarah Slusher and Mark Dickamore joined as managing directors in Phoenix and Salt Lake City, respectively. Sources
Costa Mesa, CA-based financial advisor Brent Rupnow’s Via Luce Capital joined Financial Advocates by LPL Financial. Rupnow had previously been associated with Ameriprise Financial Services. Source
Former J.P. Morgan advisors Kyle Briggs and Joe Thomason established Promontory Wealth in the Los Angeles area, launching the firm on Mariner’s independent advisor platform. Source
California’s Rydge Wealth Management joined Raymond James’ independent advisor channel Raymond James Financial Services. The team, consisting of Jose Campos and Ryan Duncan Anderson, was previously affiliated with Commonwealth Financial Network, where it managed $330M in client assets. It operates out of offices in Burlingame and Pleasanton. Source
Livermore, CA-based Capital Insight Financial Group joined hybrid RIA The AmeriFlex Group from Osaic. AmeriFlex Group hybrid consists of the firm's advisor-owned RIA and Cambridge Investment Research as its broker-dealer partner. Capital Insight’s team is led by Jacob Reid and manages $354M of client funds and assets. Source
Monument, CO-based practice Lang Investment Services joined Raymond James’ independent advisor channel Raymond James Financial Services. The team, led by Matthew Lang, was previously affiliated with Commonwealth Financial Network, where it managed $136M in client assets. Source
Raymond James & Associates has added Montecito, CA-based financial advisor Andrew Wilson from UBS Financial Services, where he managed more than $319M in client assets. Wilson brings over 33 years of industry experience, including 12 years at UBS. He is joined by practice business manager Annalisa Rada-McGee and senior investment portfolio analyst Brian Berry in a team operating as Oak Financial Group of Raymond James. Source
Corona, CA-based Simplified Wealth Management joined Osaic’s network of independent advisors. The team comes from LPL Financial, where it managed $315M in client assets. Simplified is led by co-founder and managing partner Kenichi Igarashi and co-founder and executive vice president Aaron Johnson, with the team rounded out by advisors Cory Leckie and Joshua Mason. Source
Denver-based independent RIA Crusonia Wealth Advisors added Rachel McGuire as a partner and senior wealth advisor. Most recently, McGuire was a senior financial advisor at Private Capital Management. Source
Wells Fargo reportedly recruited Los Angeles-based Brian Whitney, who managed $400M in assets at UBS. Source
Kestra reportedly recruited three advisor teams from Commonwealth Financial in California: Nelson & Nelson Wealth Management in Camarillo, Coastal Life Wealth Management in San Diego, and WI Investment Advisory Group in Santa Cruz. Source
Liberty Township, OH-based Mishler Financial Planning joined Raymond James’ independent advisor channel Raymond James Financial Services. The team, led by Sye Mishler, comes from Edward Jones, where it managed $130M in client assets. Included on the team is practice business coordinator Cheryl Carson Hutcheson. Source
Cleveland, OH-based Goodman Wealth Advisors joined the independent franchise owner network of Wedbush Securities from McDonald Partners. The firm is led by chairman and CEO John Goodman and includes Jared Goodman, managing director of investments,. Source
Dexter, MO-based advisors Benjamin Worley and Robert Monroe joined LPL Financial’s broker-dealer and RIA platform to form Worley Monroe Advisors. The team was previously affiliated with Edward Jones and managed $400M in advisory, brokerage, and retirement plan assets. Source
Overland Park, KS-based advisor Adam Bettis joined insurance and financial services firm Alera Group's Alera Group Wealth Services. The practice officially joined the firm on July 1. Bettis, who is also affiliated with Osaic, was previously affiliated with TFB Advisors. Source
Former Thrivent Advisor Network affiliate Cedar Cove Wealth Partners has joined Sanctuary Wealth. The Bloomington, MN-based firm is led by founding partners and wealth advisors Jennifer Cords, Ben Johnson, and Chris Sipe, along with partner and CIO Keith Sapp. Source
Cleveland-based mutual bank Dollar Bank hired financial advisor George Giolekas to support the expansion of its Dollar Investment Services wealth management program across all 28 of its bank locations in Northeast Ohio. Dollar Bank’s wealth management program is a part of Cetera's Cetera Financial Institutions platform. Most recently, Giolekas was a relationship manager at Girard, a Univest Wealth Division. Source
Columbus, OH-based financial advisor Bart Butler launched Rightside Financial and joined Osaic affiliate Signature Equity Partners. Butler was previously affiliated with VALIC Financial Advisors, where he managed $400M in client assets. Source
Senior wealth advisors Greg Diamond and Neil Cohen joined Carson Wealth’s Palatine, IL, office. The advisors, who were previously affiliated with GCD Advisors, serve $300M in AUM. Source
Woodbury, MN-based GFC Planning joined Sanctuary Wealth’s network from Morgan Stanley. The firm, founded by Lance Huebner, manages $120M in client assets. Source
Dewey Buhr, who managed $100M in assets, reportedly left UBS to join Wells Fargo in Sioux Falls, SD. Source
RBC Wealth Management reportedly added a $1.1B, Bloomfield Hills, MI-based team from UBS. The team, which was part of Succession Wealth Partners at UBS, includes advisors Jonathan Modiano, Adam Jones, and Mark Steinberg. Source
Financial advisors Mandy Dollar and Jennifer Wallis launched new firm ArrowPoint Wealth Advisors with Osaic. The practice, with offices in Oklahoma City and Edmond, OK, manages $379M in assets. Dollar, formerly with MidFirst Bank, is a sports and entertainment accredited wealth management advisor, while Wallis, who holds the behavioral financial advisor designation, was previously chief impact officer at Citizens Bank of Edmond. Source
San Antonio-based Ingenuity Financial Services joined Raymond James’ independent advisor channel Raymond James Financial Services. The team, led by Alan Chase and Ian Chase, comes from Commonwealth Financial Network, where it managed $170M in client assets. Source
Frisco, TX-based financial advisor Robert Mitchell joined Raymond James’ employee advisor channel Raymond James & Associates. Mitchell comes from Stifel, where he managed $200M in client assets. He joins private wealth advisor Robert Pearson as co-founder of Mitchell Pearson Private Wealth of Raymond James. Source
Southlake, TX-based financial advisor Owen “Fred” Gartrell joined Raymond James’ employee advisor channel Raymond James & Associates. Gartrell arrives from Baird, where he managed $100M in client assets. Source
Veteran financial advisor Casper Terpinski joined Steward Partners’ Dallas-based Park Cities Group team. Managing $230M in assets, Terpinski serves retirees, small institutions, and multi-generational families. According to his FINRA profile, he joins Steward from Zachs Investment Management. Source
Two UBS teams managing a combined $1.3B reportedly joined J.P. Morgan Chase wealth management unit J.P. Morgan Advisors’ Austin, TX, office. The Neff Group, which oversaw $1B in client assets at UBS, is led by John Neff along with Brad Neff and Greg Neff. The Buchanan Group, managing $279M, is led by Bob Buchanan and Mark Buchanan. Source
Wealth management firm Hightower Advisors appointed Randy Bullard as head of investment management. In the newly created role, Bullard will lead the development of the firm’s first centralized investment management platform. Most recently, Bullard worked as global head of wealth at State Street. Source
Irvine, CA-headquartered $4B RIA Trilogy Financial Services appointed Amy Kane to the newly created role of head of wealth planning. Kane was previously the senior director and head of wealth planning at Ashton Thomas Private Wealth. Source
U.S. Bancorp appointed industry veteran Jodi Rolland as president of its Affluent Wealth Management division. In the new leadership role, Rolland will also assume responsibilities as CEO of both U.S. Bancorp Investments and U.S. Bancorp Advisors. Rolland most recently served as managing director and divisional director at JPMorgan Chase, leading retail banking operations across the Greater West region. Source
Northern Trust Wealth Management named Michael Darby senior managing director of the Northern California market. Darby, who previously worked as the firm’s senior vice president and managing director, will oversee Northern Trust’s Menlo Park, Mill Valley, and San Francisco locations. Source
Franklin Templeton head of US wealth management Jonathan Kingery left the firm to join RIA DoubleLine Capital as chief distribution officer covering the US. In addition, Franklin’s Asia head of private banks and family offices Gaurav Bathija is reportedly stepping down on December 14. Sources 1, 2
Ducere Wealth Management named Nicholas Bzovi as director of alternative investments. Bzovi was previously an institutional consulting relationship manager at Morgan Stanley. Source
Curated Wealth Partners, a multifamily office and investment management firm assisting ultra-high-net-worth clients, appointed Ryan Reid as vice president of investments. Most recently, Reid was vice president at J.P. Morgan Private Bank’s global families group in New York. Source
Braintree, MA-based Pallas Capital Advisors, a wealth management firm with $3B in assets, added Kevin Crain as strategic advisor for retirement services. Most recently, Crain spent about two decades at Bank of America Merrill Lynch and served as head of retirement research and insights. Source
Independent wealth management firm and national trust bank Chilton Trust appointed Jennifer Lee as CEO and president, effective Oct. 6. Lee was previously head of US markets for PNC Private Bank. Source
Flagstar Private Bank appointed Carly Doshi as head of family advisory and trust for Flagstar Private Banking & Wealth Management. Most recently, Doshi was the head of wealth planning and advisory at HSBC Private Bank. Source
FB Financial, parent of FirstBank, appointed Clayton W. Hart as head of Nashville, TN, and senior vice president, where he will oversee commercial banking and private wealth strategy. Hart joins from Pinnacle Financial Partners, where he most recently served as executive vice president leading the private wealth group. Source
Charter Oak Capital Management, which has offices in Portsmouth, NH, and Kennebunk, ME, named Sarah Serling as CEO. Serling has served as acting CEO of the fiduciary wealth management firm since January 2024. Source
Digital-first advisor platform Savvy Wealth named Anshul Sharma CIO to build its first institutional-grade investment office. Sharma, most recently a managing director and senior portfolio manager at Merrill Lynch Wealth Management, joins as the firm surpasses $3B in AUM. Source
Dan Wilson resigned as chief wealth officer of Brookfield, WI-based Annex Wealth Management. Wilson, who spent only six months with the firm, said in a LinkedIn post that he expects to announce his next role by mid-to-late October. Source
Employee-owned, independent wealth management firm Aspiriant appointed Gretchen Hollstein as director of wealth management. Hollstein, who will be based in San Francisco, joins the firm after spending the past 20 years at Litman Gregory Wealth Management, where she was most recently a senior advisor and managing director. Source
Mega-RIA Hightower Advisors appointed James Patrick Dunne as head of operations and service, according to the $308B firm’s latest form ADV. Dunne previously worked at BlackRock’s iShares ETF and index fund division. Sources 1, 2
New York-based private wealth firm Sandro Wealth, which launched earlier this year, appointed financial industry veteran Chuck Alberton as senior managing director and West Coast head of portfolio strategy management. Alberton previously worked at Rochdale Investment Management as Northwest divisional managing director and senior portfolio manager. Source
Westwood, NJ-based Modera Wealth Management appointed Vince Curtin as director, head of M&A. Curtin was previously a partner and head of corporate development and M&A at Transcend Capital Advisors. Source
Conshohocken, PA-based family office Pitcairn appointed Carlin Calcaterra as managing director of investment strategy. Most recently, Calcaterra was the managing director and co-head of the financial advisor solutions team at Ares Management. Source
Atlanta-based $4B RIA BIP Wealth named former Georgia Tech Yellow Jackets baseball team coach Danny Hall as vice president of strategic growth. Hall will work with the firm’s baseball division and with other advisors across the firm to expand new business opportunities. Source
WSFS Financial Corp., the parent entity of Bryn Mawr Trust, made several leadership changes, including the hiring of Michael Mendelson as SVP, COO of Bryn Mawr. Mendelson has over two decades of experience at J.P. Morgan Chase, where he held senior leadership roles across wealth and operations. Bryn Mawr also promoted Harrison Gelber to SVP, director of private banking and trust advisory services, and Mark Bradford to SVP, director of wealth planning. Further, Jackie Blue was promoted to SVP, COO of Bryn Mawr Trust Advisors, an investment advisor subsidiary of Bryn Mawr. Source
AllianceBernstein unit Bernstein Private Wealth Management promoted two executives in Houston, elevating Stephen Lewis to senior national director, co-head of the office and head of national client experience, and Adam Geist to managing director and co-head. Lewis joined the firm in 2002, while Geist came on board in 2021. Source
Royal Bank of Canada unit City National Bank appointed Brandon Williams as executive vice president and head of private banking and wealth management. Williams, who joined City National in 2016, has been leading the bank’s private banking and wealth management division on an interim basis since June. Source
AllianceBernstein unit Bernstein Private Wealth Management appointed Gregory Kadet and Cecily Bolding as managing directors of Bernstein private wealth offices in Denver and Dallas, respectively. Kadet and Bolding will lead teams of wealth advisors serving high-net-worth and ultra-high-net-worth clients. Most recently, Kadet was the managing director and market head for Greater Florida at UBS, while Bolding was a managing director at Northern Trust for its Dallas market. Source
Wealth management platform for independent financial advisors AssetMark appointed Alyson Tucci as senior vice president of corporate strategy and corporate development. In the newly created role, Tucci will oversee corporate strategic priorities, manage M&A activities to strengthen the firm’s offerings, and drive the strategy to accelerate AssetMark’s expansion in the RIA channel and private markets. Tucci joins AssetMark from Alvarez & Marsal, where she served as director in the financial services industry group. Source
$41.7B wealth management firm and multi-family office IEQ Capital appointed Frank Mason as managing director. Mason, in the new role, will advise a select group of clients and contribute to the firm's ongoing investment sourcing and strategy across public and private markets. He joins the firm from J.P. Morgan Private Bank, where he served as executive director advising families, executives, and family offices on bespoke investment strategies and trust and estate planning. Source
Greenwich, CT-based Fieldpoint Private Trust appointed Brian Donovan as president for its family office division. Donovan joins the firm from Northern Trust, where he served as senior managing director for the Greater New York and Connecticut offices. Source
Wilmington, DE-based independent broker-dealer and RIA platform Realta Wealth appointed financial services veteran Scott Smith as president. Smith, who previously served as the CEO and chairman of FactRight, will focus on Realta's next phase of expansion, including scaling its alternative investment platform. Source
Little Rock, AR-based Independent financial services firm Stephens appointed Jason Thomas as managing director, chief tax and wealth planning strategist. Thomas will lead the wealth planning and strategy group within the Stephens Private Wealth Management division. Previously, Thomas was a tax partner at Frost PLLC. Source
Northern Trust Wealth Management appointed financial industry veteran Gary Poth as president of the Ohio market, succeeding Michael Cogan, who will remain engaged in the business until his retirement on June 1, 2026. Most recently, Poth led the ultra-high-net-worth and multi-family office division at Key Private Bank. Source
Jay Robinson has left Mercer Advisors, where he served as a vice president in M&A and partner development, to join wealth management recruiting agency The Well Recruiting Solutions. Source
Omaha, NE-based $48B RIA Carson Group appointed Heather Zack as senior vice president of private client services and Liam Heffernan as vice president of mergers and acquisitions sales. Zack was previously director of high-net-worth clients at Commonwealth Financial Network, while Heffernan comes from SageView Advisory Group, where he worked as director of corporate development. The firm also named Lisa VanArsdale as vice president of advisor development and David Haughton as vice president of estate planning. VanArsdale was a longtime LPL Financial advisor, while Haughton joins from Wealth.com, where he served as senior corporate counsel. Source
Multifamily office Pennington Partners & Co. named Keith Kellum and Marilyn Santiago as partners. Kellum, who built and led the virtual family office practice nationally at BNY Wealth, will oversee portfolio management. Santiago, who has been with the firm for 23 years, will head relationship management. Source
San Diego-based wealth management firm Independent Financial Group appointed Steven Gensler as senior vice president of advisor growth and development. Gensler has over 20 years of financial services industry leadership experience, including senior roles at LPL Financial and Independent Advisor Alliance. Source
Los Angeles-based $9.5B RIA Composition Wealth reportedly appointed Nate Angelo as CEO, effective September 25, succeeding Bruce Milam, who has decided to step down from the position. Angelo joined the firm in 2023. Source
J.P. Morgan Advisors reportedly named Molly Colavita as CEO, succeeding Phil Sieg, who will retire on October 15. Colavita joined the firm in 2021 after a decade at Merrill Lynch. Source
Amit Dogra, president and COO of RIA platform services business Tru Independence, has reportedly left the firm. Dogra joined the firm in early 2022, and Sanctuary Wealth acquired Tru Independence in May 2024. Source
Citigroup’s wealth unit reportedly appointed Christine Curtiss as head of asset manager relationships and Kate Boucher as global head of alternative investment sales. Curtiss, who spent 15 years at BNY Mellon and most recently served as head of global family office, retail, and international wealth, will join in October. Boucher will join from Goldman Sachs Asset Management, where she also worked for 15 years, most recently as head of US third-party wealth alternatives, and will start in December. Source
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