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
Ilan CohenMorgan StanleyMerrill Lynch, Pierce, Fenner & Smith Incorporated07-01-2019
Eric Brian WaggonerLPL Financial LLCNorthwestern Mutual Investment Services, LLC$5007-01-2019
Robert Edward LampeCantella & Co., Inc.Raymond James & Associates, Inc.$107-01-2019
Kathleen BarlowRaymond James Financial Services, Inc.Raymond James & Associates, Inc.$107-01-2019
Robert Henry RutledgeFSC Securities CorporationSagepoint Financial, Inc.$10407-01-2019
Jonathan FreedAmeritas Investment Corp.Securities America, INC.07-01-2019
Richard Charles Callaghan Jr.LPL Financial LLCSeelaus Asset Management, LLC$5007-01-2019
Christine Rosemary VayAXA Advisors, LLCUSA Financial Securities Corporation07-01-2019
Jerome Emmett Pinckney Jr.Calton & Associates, Inc.Triad Advisors, Inc.$107-01-2019
Charles Otis Patton IIIDempsey Lord Smith, LLCTaylor Capital Management Inc.07-01-2019
Albert Michael DanielsWoodbury Financial Services, Inc.ON Investment Management Co07-01-2019
James Maxwell MarkleyStephensMerrill Lynch, Pierce, Fenner & Smith Incorporated07-01-2019
Filipe Augusto De Barros GusmaoRaymond James & Associates, Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated07-01-2019
Thomas McDonaldPrincipal Securities, Inc.Farmers Financial Solutions, LLC07-01-2019
Brendan Ryan GallagherPinnacle Investments, LLCEssex Securities LLC07-01-2019
Scott Martin BreskySCF Securities, Inc.Concorde Investment Services, LLC$5007-01-2019
Joann Marie MorfordCalton & Associates, Inc.Capital Financial Services, Inc.07-01-2019
Jeffrey Joseph JohnsonCalton & Associates, Inc.Capital Financial Services, Inc.$10007-01-2019
Swan Sihua ShenSagePoint Financial, Inc.Capital Financial Services, Inc.$10007-01-2019
Darren M KlumpCalton & Associates, Inc.Capital Financial Services, Inc.$107-01-2019
Robert Emmett Lee Jr.Nations Financial Group, Inc.B. Riley Wealth Management07-01-2019
Allen Carroll Brooks Jr.SunTrust Investment Services, Inc.Cetera Advisor Networks LLC$107-01-2019
Michael Allen BabcockCambridge Investment Research, Inc.B.B. Graham & Company, Inc.07-01-2019
Salvatore MansuetoCitizens Securities, Inc.Charles Schwab & Co., Inc.$5007-01-2019
Arthur Roy McPherson IIWorld Equity Group, Inc.Taylor Capital Management Inc.$5007-01-2019
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Showing 326 to 350 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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