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
Sam Rodriguez360 Wealth ManagementJPMorgan Chase & Co.$6609-26-2016
Agustin De Estrada Manuel LecourBolton Global CapitalJPMorgan Chase & Co.$20004-05-2017
William E Christian Tammi A Lauder Michael J Lent William T LentFieldpoint Private Securities, LLCJPMorgan Chase & Co.$70012-18-2017
Okita SeviFirst Republic Securities Company, LLCJPMorgan Chase & Co.$40011-03-2017
Jeff Sherman Arthur KarabelasFirst Republic Securities Company, LLCJPMorgan Chase & Co.$40011-02-2017
KC MartelGolden State Wealth ManagementJPMorgan Chase & Co.$8011-02-2015
Sandra Y ChoGolden State Wealth ManagementJPMorgan Chase & Co.$18006-26-2015
James GoetzGolden State Wealth ManagementJPMorgan Chase & Co.$5003-01-2015
Marc ShachtmanHighTower Advisors, LLCJPMorgan Chase & Co.$50010-05-2017
Shane PrierHilliard LyonsJPMorgan Chase & Co.$8011-13-2018
Daniel MickleyJanney Montgomery Scott LLCJPMorgan Chase & Co.$8311-12-2018
Stephen LuzKestra Investment Services, LLCJPMorgan Chase & Co.$13001-19-2017
Damon DozierLPL Financial LLCJPMorgan Chase & Co.$6511-30-2017
Robert BaileyLPL Financial LLCJPMorgan Chase & Co.$6109-25-2017
Christopher BatesLPL Financial LLCJPMorgan Chase & Co.$13503-02-2017
Stephen MaganaLPL Financial LLCJPMorgan Chase & Co.$13012-15-2016
Jeffrey RobinLPL Financial LLCJPMorgan Chase & Co.$6012-15-2016
Mario VasquezLPL Financial LLCJPMorgan Chase & Co.$7411-08-2016
Karl GrahamLPL Financial LLCJPMorgan Chase & Co.$6011-01-2016
Chad Dufrene Wally Gundlach Chris Kenny Tris Millard Jack Rovetto Benton Turnage Brian WynneLPL Financial LLCJPMorgan Chase & Co.$1,40010-27-2016
Robert LenertzLPL Financial LLCJPMorgan Chase & Co.$8010-18-2016
Quincy GoudeauLPL Financial LLCJPMorgan Chase & Co.$6610-17-2016
Samuel RodriguezLPL Financial LLCJPMorgan Chase & Co.$6609-16-2016
Christine PaulLPL Financial LLCJPMorgan Chase & Co.$9809-13-2016
Steven SwansonLPL Financial LLCJPMorgan Chase & Co.$23709-02-2016
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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.