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
Alfredo J. MartinezLPL Financial LLCCharles Schwab & Co., Inc.$5004-01-2019
Colin H. GrayTradewinds Capital Management, LLCCharles Schwab & Co., Inc.03-28-2019
Daniel Alexander Caycedo5280 Wealth ManagementCharles Schwab & Co., Inc.05-24-2019
David Franklin Edwards Jr.Morgan StanleyCharles Schwab & Co., Inc.$5006-10-2019
David L. RaymonRaymon Capital Advisors, LLCCharles Schwab & Co., Inc.04-25-2019
Dawn Michelle EdwardsTD Ameritrade Investment Management, LLCCharles Schwab & Co., Inc.05-29-2019
Devona J'Heir WiseJ.P. Morgan Securities LLCCharles Schwab & Co., Inc.04-10-2019
Dillon Partick LovellWells Fargo Clearing Services, LLCCharles Schwab & Co., Inc.04-12-2019
Michael Evan VassarBartlett & Co. Wealth Management LLCCharles Schwab & Co., Inc.03-25-2019
Neetu KohliWells Fargo Clearing Services, LLCCharles Schwab & Co., Inc.05-29-2019
Raymond Joseph Marquez Jr.Merrill Lynch, Pierce, Fenner & Smith IncorporatedCharles Schwab & Co., Inc.04-26-2019
Richard Lee BassettTD Ameritrade Investment Management, LLCCharles Schwab & Co., Inc.06-13-2019
Robert Wilson VollenweiderTD Ameritrade Investment Management, LLCCharles Schwab & Co., Inc.05-21-2019
Shane Patrick Dennehy5280 Wealth ManagementCharles Schwab & Co., Inc.05-24-2019
Tiffany Jolene DugasVALIC Financial Advisors, Inc.Charles Schwab & Co., Inc.04-16-2019

Showing 1 to 15 of 15 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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