Advisers on the Move

Never miss a move. The industry's only comprehensive database of financial advisers and brokers changing firms. View over a decade of recruiting activity at wirehouses, regional brokerages, RIAs and independent broker-dealers.

Considering changing firms, making a new hire or exploring an acquisition? Visit the Adviser Center.

Latest moves


Adviser(s) Firm joining Firm leaving AUM ($M) Date
Harold Edward Briggs Jr.Briggs Advisory Group, Inc.1st Global Advisors Inc03-19-2018
Brian Patrick SullivanIndependent Financial Partners1st Global Advisors Inc05-09-2017
Jeffrey Alan DelheimerIndependent Financial Partners1st Global Advisors Inc04-12-2017
Brennan Michael HollenbeckIndependent Financial Partners1st Global Advisors Inc03-30-2017
Craig Windsor TowerIndependent Financial Partners1st Global Advisors Inc03-30-2017
Susan Marie GarbarinoIndependent Financial Partners1st Global Advisors Inc03-30-2017
Jill Helene KasenAmeriprise Financial Services, Inc.1st Global Advisors Inc$10011-03-2016
David Lee AnnekenAmeriprise Financial Services, Inc.1st Global Advisors Inc11-03-2014
Kevin Dale CountsLPL Financial LLC1st Global Advisors Inc$1309-02-2014
Steven Allen WheelerLPL Financial LLC1st Global Advisors Inc$1009-02-2014
Kathryn H. BraunAmeriprise Financial Services, Inc.1st Global Advisors Inc09-11-2013
James Frederick SaylerK. W. Chambers & Co.1st Global Advisors Inc$107-16-2013
Douglas Lee HallAPW Capital, Inc.1st Global Advisors Inc01-03-2013
Eugene O'BrienFirst Allied Securities, Inc.1st Global Advisors Inc$2512-19-2012
Gregory Scott BarkerMoss Adams Securities & Insurance LLC1st Global Advisors Inc05-21-2012
Deborah Alexander RollandInvestment Professionals, Inc.1st Global Advisors Inc05-16-2011
Darsi June CaseyMML Investors Services, LLC1st Global Advisors Inc$5007-21-2009
Brent Shepherd, Ken Day LPL Financial1st Global Capital$15002-06-2019
Susan Garbarino, Brent Kalka, Craig Tower, Curtis WiedemanLPL Financial1st Global Capital$24003-31-2017
Thomas Collins, David PittinosLPL Financial1st Global Capital$8203-17-2017
Michael Grant ThompsonSecurities America, Inc.1st Global Capital Corp.$5008-01-2019
Gregory Alan DeckertGreen & Deckert LLC1st Global Capital Corp.05-03-2019
Duncan Bradley GreenGreen & Deckert LLC1st Global Capital Corp.05-02-2019
Magnum Fredrick DrewHD Vest Investment Services1st Global Capital Corp.02-27-2019
James A FranklinCetera Advisor Networks LLC1st Global Capital Corp.$1002-08-2019
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Showing 26 to 50 of 133,048 entries

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Disclaimer & Methodology: The InvestmentNews Advisers on the Move database is designed to capture all recruiting activity of retail financial advisers/teams of advisers as they move from one firm to another. The activity recorded within the database comes from a number of sources, including InvestmentNews and other media reports; press releases; direct submissions that have been reviewed by InvestmentNews; and regulatory filings. To qualify as a move, no more than 60 days can have elapsed between the date an adviser/team leaves one firm and the date they join another. Any adviser registration changes that came as a result of merger & acquisition activity are not recorded as moves in the database. Finally, please note that all AUM data is user-submitted and is not audited by InvestmentNews or any regulatory agency. When AUM data is unavailable, a “ — “ is listed in the record’s AUM field entry. All data and information is the property of InvestmentNews LLC and is protected by copyright and other intellectual property laws. All rights are reserved by InvestmentNews LLC. Data may only be viewed on and can not be resold, republished, redistributed, sublicensed, or copied for any other use without the permission of InvestmentNews LLC.


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