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

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Adviser(s) Firm joining Firm leaving AUM ($M) Date
Sam Rodriguez360 Wealth ManagementJPMorgan Chase & Co.$6609-26-2016
Dale E. ReedBank of America Merrill LynchJPMorgan Chase & Co.$9,00002-26-2018
Cathy ReedBank of America Merrill LynchJPMorgan Chase & Co.$11305-31-2017
Fernando NicolauBank of America Merrill LynchJPMorgan Chase & Co.$1,00005-30-2017
John Uriostegui, Rod NakamotoBank of America Merrill LynchJPMorgan Chase & Co.$35011-28-2016
Amanda BarclayBank of America Merrill LynchJPMorgan Chase & Co.$24406-06-2016
Shawn J. GoldBank of America Merrill LynchJPMorgan Chase & Co.$42504-14-2015
Ricardo GuerreroBank of America Merrill LynchJPMorgan Chase & Co.$10011-07-2014
Suzanne AustinBank of America Merrill LynchJPMorgan Chase & Co.$15007-09-2014
Agustin De Estrada, Manuel LecourBolton Global CapitalJPMorgan Chase & Co.$20004-05-2017
David Steele, Jonathan Steele, Alexander J. Schmitz, Kevin M. Cohen, Samuel A. StephensDynasty Financial PartnersJPMorgan Chase & Co.$27509-10-2015
William E. Christian, Tammi A. Lauder, Michael J. Lent, William T. LentFieldpoint PrivateJPMorgan Chase & Co.$70012-18-2017
Okita SeviFirst Republic SecuritiesJPMorgan Chase & Co.$40011-03-2017
Jeff Sherman, Arthur KarabelasFirst Republic SecuritiesJPMorgan Chase & Co.$40011-02-2017
K.C. 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 AdvisorsJPMorgan Chase & Co.$50010-05-2017
Shane PrierHilliard LyonsJPMorgan Chase & Co.$8011-13-2018
Daniel MickleyJanney Montgomery ScottJPMorgan Chase & Co.$8311-12-2018
Stephen LuzKestra FinancialJPMorgan Chase & Co.$13001-19-2017
Damon DozierLPL FinancialJPMorgan Chase & Co.$6511-30-2017
Robert BaileyLPL FinancialJPMorgan Chase & Co.$6109-25-2017
Christopher BatesLPL FinancialJPMorgan Chase & Co.$13503-02-2017
Jeffrey RobinLPL FinancialJPMorgan Chase & Co.$6012-15-2016
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Showing 1 to 25 of 92 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.

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