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
Brian J. ThomasNorthern TrustJPMorgan Chase & Co.02-22-2016
Richard Duffy, Russell KwokMorgan Stanley Wealth ManagementJPMorgan Chase & Co.06-24-2014
Robert Tholl, Jerry PearsonMorgan Stanley Wealth ManagementJPMorgan Chase & Co.03-29-2010
Miguel Barbosa, Alfonso Barros, Carlos Rodriguez-Aspirichaga, Juan Calderon, Ricardo MendezUBS Financial ServicesJPMorgan Chase & Co.03-23-2018
John Bueno, John Raetz, Noah RobinsonWells Fargo AdvisorsJPMorgan Chase & Co.$105-29-2014
Scott Siegel, Mehmet Kirdar, Michael O'Hara, Joseph Carmody, Morgan Stanley Wealth ManagementJPMorgan Chase & Co.$108-23-2013
Frank Esposito, Matthew GreenUBS Financial ServicesJPMorgan Chase & Co.$103-07-2013
Christopher HillWells Fargo AdvisorsJPMorgan Chase & Co.$209-03-2015
Alli McCartney, Miguel Hennessy, David Wardrop, Jordan MahaffeyUBS Financial ServicesJPMorgan Chase & Co.$508-16-2015
Joseph AzzopardiLPL FinancialJPMorgan Chase & Co.$5007-29-2016
Dustin DeFrancoLPL FinancialJPMorgan Chase & Co.$5004-08-2016
Michael SilversteinLPL FinancialJPMorgan Chase & Co.$5004-01-2016
James GoetzGolden State Wealth ManagementJPMorgan Chase & Co.$5003-01-2015
Joseph L. BessWaddell and ReedJPMorgan Chase & Co.$5404-14-2014
Craig VentoWaddell and ReedJPMorgan Chase & Co.$5402-06-2015
Jeffrey RobinLPL FinancialJPMorgan Chase & Co.$6012-15-2016
Karl GrahamLPL FinancialJPMorgan Chase & Co.$6011-01-2016
Steven KouryWaddell and ReedJPMorgan Chase & Co.$6003-27-2015
Anthony ValenciaSecurities AmericaJPMorgan Chase & Co.$6009-11-2014
Robert BaileyLPL FinancialJPMorgan Chase & Co.$6109-25-2017
Damon DozierLPL FinancialJPMorgan Chase & Co.$6511-30-2017
Dawna Westberg-Welch Stratos Wealth PartnersJPMorgan Chase & Co.$6506-16-2016
Shalana D. PooleWaddell and ReedJPMorgan Chase & Co.$6611-03-2017
Quincy GoudeauLPL FinancialJPMorgan Chase & Co.$6610-17-2016
Sam Rodriguez360 Wealth ManagementJPMorgan Chase & Co.$6609-26-2016
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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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