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
Robert Deaton Smith IIISagePoint Financial, Inc.AXA Advisors, LLC04-26-2018
ANDREW Joseph SCHULTZPNC InvestmentsAXA Advisors, LLC04-06-2018
Thomas John ScallonProEquities, Inc.AXA Advisors, LLC01-05-2018
James Edward FoyPruco Securities, LLC.AXA Advisors, LLC10-25-2017
Andrew Brett KutnerPruco Securities, LLC.AXA Advisors, LLC10-23-2017
Alexander Leaming BartolWells Fargo Clearing Services, LLCAXA Advisors, LLC$5010-06-2017
John Patrick HoileWells Fargo Clearing Services, LLCAXA Advisors, LLC$2510-06-2017
Thomas Stanton SwinsonWells Fargo Clearing Services, LLCAXA Advisors, LLC$15010-06-2017
Corey Jonathan HedgesSagePoint Financial, Inc.AXA Advisors, LLC09-21-2017
Christopher Lee BanksPark Avenue Securities LLCAXA Advisors, LLC08-07-2017
Carl Brent AnthonyPrincipal Securities, Inc.AXA Advisors, LLC$106-16-2017
Robert Christopher BrickeyLincoln Financial Securities CorporationAXA Advisors, LLC06-01-2016
Leslie S GarnerPruco Securities, LLC.AXA Advisors, LLC01-21-2016
Frederick Anderson TullossLPL Financial LLCAXA Advisors, LLC$109-17-2015
Roy Houston JohnsonPrincipal Securities, Inc.AXA Advisors, LLC$109-17-2015
Mary Elizabeth SargentLevel Four Advisory ServicesAXA Advisors, LLC09-08-2015
Wilbur Spear Hemby Jr.Level Four Advisory ServicesAXA Advisors, LLC09-08-2015
Elizabeth Adams WatkinsAmeriprise Financial Services, Inc.AXA Advisors, LLC08-24-2015
Randy Ray MooreheadSignator Investors, Inc.AXA Advisors, LLC07-31-2015
Megan Laura Wallace HeathcoteMML Investors Services, LLCAXA Advisors, LLC06-19-2015
Austin Neil RamseyLincoln InvestmentAXA Advisors, LLC05-15-2015
Larry Allen Hyde IILincoln Financial Securities CorporationAXA Advisors, LLC03-20-2015
John Eldridge Parham Jr.Lincoln Financial Securities CorporationAXA Advisors, LLC$1002-20-2015
Charles Raymond Shimer IIILPL Financial LLCAXA Advisors, LLC$5002-02-2015
Scott William ZimmermanUBS Financial Services Inc.AXA Advisors, LLC01-08-2015
Next Page »

Showing 1 to 25 of 62 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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