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.

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Latest moves


Adviser(s) Firm joining Firm leaving AUM ($M) Date
Jonathon C. LeibUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated07-30-2019
Harold MandellM. E. Allison & Co., Inc.Next Financial Group, Inc.$5007-30-2019
William John MillerPurshe Kaplan Sterling InvestmentsAmeriprise Financial Services, Inc.$10007-30-2019
Eric H ZoldanA.G.P. / Alliance Global PartnersCalton & Associates, Inc.$1007-30-2019
Kathleen Sinclair BehrensCalton & Associates, Inc.Capital Financial Services, Inc. 07-30-2019
Shayne Lawrence FicklingCalton & Associates, Inc.Capital Financial Services, Inc. 07-30-2019
Kevin Patrick MalloryMML Investors Services, LLCEdward Jones07-30-2019
Jeffrey Jon JohnsonCFD Investments, Inc.J.W. Cole Financial, Inc.07-30-2019
Ralph John FetrowPurshe Kaplan Sterling InvestmentsKovack Advisors, Inc.$5007-30-2019
Brian Jerome GoldsteinPackerland Brokerage Services, Inc.MML Investors Services, LLC$10007-30-2019
Kevin Bay Stifel, Nicolaus & Company, IncorporatedKevin Bay Investments$12807-29-2019
Eric H ZoldanA.G.P. / Alliance Global PartnersCalton & Associates, Inc.$1007-29-2019
Joan Marie SteigerwaldCalton & Associates, Inc.Capital Financial Services, Inc.07-29-2019
William Paul FauzioUnion Capital CompanyCapital Financial Services, Inc.$5007-29-2019
Richard J DupontFirst Republic Securities Company, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated07-29-2019
Peggy Jean BuehlerPruco Securities, LLC.Waddell & Reed07-29-2019
Jack Jerome Defevers Jr.Pruco Securities, LLC.AXA Advisors, LLC07-29-2019
Abraham E. MarquezCetera Investment Services LLCBBVA Wealth Solutions Inc.07-29-2019
Statton FrankMorgan StanleyJ.P. Morgan Securities LLC07-29-2019
Jonathon C. LeibUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated07-29-2019
Johnson Lim Go Jr.Pruco Securities, LLC.Park Avenue Securities LLC07-29-2019
Brett William Sabio Sr.Securities America, Inc.Royal Alliance Associates, Inc.07-29-2019
Roger Allan Immell IICalton & Associates, Inc.Capital Financial Services, Inc.$1007-26-2019
Kirk Leslie DomkeCalton & Associates, Inc.Capital Financial Services, Inc.07-26-2019
Dennis Jerome BachCalton & Associates, Inc.Capital Financial Services, Inc.07-26-2019
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Showing 76 to 100 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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