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

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Adviser(s) Firm joining Firm leaving AUM ($M) Date
Christopher Morgan EckhardtUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$10007-02-2019
Clifton James LaddRaymond James Financial Services, Inc.Raymond James & Associates, Inc.07-02-2019
Hamza Hussain FarooqueeBancWest Investment Services, Inc.Raymond James & Associates, Inc.$107-02-2019
Diane Moen WeyrickCambridge Investment Research, Inc.SCF Securities, Inc.$5007-02-2019
John T. AndraosWells Fargo Advisors Financial Network, LLCWells Fargo Clearing Services, LLC07-02-2019
Tony James WittrockRaymond James Financial Services, Inc.Wells Fargo Clearing Services, LLC$5007-02-2019
Bradley David HitzemanCharles Schwab & Co., Inc.The Huntington Investment Company07-02-2019
Stuart L. GossFTB Advisors, Inc.NYLIFE Distributors LLC07-02-2019
Calixto PerezMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley07-02-2019
Mitchell Lloyd HardinMoney Man MitchLPL Financial LLC07-02-2019
Richard Albert YemmKMS Financial Services, Inc.Kovack Advisors, Inc.07-02-2019
Joel Rand RobisonCalton & Associates, Inc.Capital Financial Services, Inc.07-02-2019
Lisa Ann CowanSecurities America, Inc.Cambridge Investment Research, Inc.07-02-2019
Kelly Lynn BazileIFP Securities, LLCLPL Financial LLC$107-02-2019
John Donald GosztylaIFP Securities, LLCLPL Financial LLC$1007-02-2019
Jamie Lawrence BaraldiLPL Financial LLCUBS Financial Services Inc.$28007-02-2019
Bryan Michael DeinLPL Financial LLCUBS Financial Services Inc.$5007-02-2019
Warren Samuel WernickCambridge Investment Research, Inc.Wells Fargo Clearing Services, LLC$1,00007-02-2019
Stuart A. GertmanInternational Assets Advisory, LLCPurshe Kaplan Sterling Investments$10007-02-2019
Michael Patrick MawbyInternational Assets Advisory, LLCPurshe Kaplan Sterling Investments$10007-02-2019
Joseph Constantine BernardiNations Financial Group, Inc.B. Riley Wealth Management$10007-01-2019
Lisa Anne MalickPurshe Kaplan Sterling InvestmentsCambridge Investment Research, Inc.$107-01-2019
Ricky Alan SanfordHarbor Financial Services, LLCCetera Investment Services LLC$2507-01-2019
Brian A HummelCetera Investment Services LLCInfinex Investments, Inc.$15007-01-2019
Denitra Rachelle ReedFrost Brokerage Services, Inc.J.P. Morgan Securities LLC$5007-01-2019
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Showing 301 to 325 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 InvestmentNews.com and can not be resold, republished, redistributed, sublicensed, or copied for any other use without the permission of InvestmentNews LLC.

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