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
Dean Brian BaumgartnerAW SecuritiesCambridge Investment Research, Inc.$2505-01-2019
Thomas M. Valentine Jr.MML Investors Services, LLCCambridge Investment Research, Inc.04-17-2019
David Wayne TomfohrdeSt. Bernard Financial Services, Inc.Cambridge Investment Research, Inc.$5003-27-2019
Mark Steven KnepfelPackerland Brokerage Services, Inc.Cambridge Investment Research, Inc.$1003-21-2019
Vineet Kumar GoyalArete Wealth Management, LLCCambridge Investment Research, Inc.$2503-21-2019
Peter Frederic StegerChalice Capital Partners, LLCCambridge Investment Research, Inc.$103-01-2019
Geoffrey Brian KasherCadaret, Grant & Co., Inc.Cambridge Investment Research, Inc.$5002-25-2019
Kenneth Edward IngersollSecurities America, Inc.Cambridge Investment Research, Inc.$5002-21-2019
Roger Adrian BattersonBrokers International Financial Services, LLC.Cambridge Investment Research, Inc.02-20-2019
Thomas Michael TetteSecurities America, Inc.Cambridge Investment Research, Inc.$5002-18-2019
Brian Joseph GodfreyGradient Securities, LLCCambridge Investment Research, Inc.02-13-2019
David Younis, Thomas Tette, Kenneth Ingersoll Securities America, Inc. Cambridge Investment research, Inc. $20202-07-2019
Neil Francis HarnenNational Securities CorporationCambridge Investment Research, Inc.$5002-05-2019
Adrian Lee UriasFranklin Star Wealth PlanningCambridge Investment Research, Inc.01-28-2019
James Joseph LukezicCNA Investor Services, Inc.Cambridge Investment Research, Inc.01-25-2019
Seth BeckerOakstone Financial Management, LLCCambridge Investment Research, Inc.01-16-2019
Patrick Sturmer PaxtonInvestment Planning AdvisorsCambridge Investment Research, Inc.01-02-2019
Aderon Alan NapierHD Vest Investment ServicesCambridge Investment Research, Inc.$15012-21-2018
David QuickSecurities America, Inc. Cambridge Investment research, Inc. $4912-18-2018
Christopher John LawRoyal Alliance Associates, Inc.Cambridge Investment Research, Inc.11-29-2018
Winnie Hui KnappTranscend Financial Advisors Inc.Cambridge Investment Research, Inc.11-19-2018
Deanna Cilnyk RoegerCetera Advisor Networks LLCCambridge Investment Research, Inc.11-06-2018
Lisa Marie MazzolaCWM, LLCCambridge Investment Research, Inc.11-05-2018
Daniel Lloyd BrubakerFirst Citizens Investor Services, Inc.Cambridge Investment Research, Inc.11-01-2018
William John HahnThe Leaders Group, Inc.Cambridge Investment Research, Inc.$5011-01-2018
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Showing 1 to 25 of 54 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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