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
Jason DonethAmeriprise FinancialLPL Financial$14705-15-2015
Ralph FreibartAmeriprise FinancialLPL Financial$6103-13-2015
Terry Bethea, Larry AngstSecurities AmericaLPL Financial$10002-17-2015
Lei Peter ShenIndependent Financial GroupLPL Financial$5001-26-2015
Kelly M. MorrisIndependent Financial GroupLPL Financial$6501-20-2015
John Sedberry, Zachary Jones Raymond JamesLPL Financial$9301-15-2015
Edward A. Metz, Zamira A. Sanchez, Janet SbroccoRaymond JamesLPL Financial$15001-09-2015
Lynn Davis, Russell Baker, Chelsea Magby, Karen Martin, Rick PattersonRaymond JamesLPL Financial12-18-2014
Hulon B. WhatleyAmeriprise FinancialLPL Financial$6611-03-2014
Dan Foran, John Foran, Jessica Foran, Brian M. Sweatt, Mark Z. WaltersRaymond JamesLPL Financial$20010-31-2014
Charles A. SmithAmeriprise FinancialLPL Financial$16510-17-2014
Lance NelsonCommonwealth Financial NetworkLPL Financial$9210-01-2014
Peter WolkSecurities Service NetworkLPL Financial$5008-18-2014
Michael W. FrankSAGE Private Wealth GroupLPL Financial$10007-18-2014
William MyersWaddell and ReedLPL Financial$5707-17-2014
Phillip SalterSummit Brokerage ServicesLPL Financial$8406-02-2014
Michael A. RosenthalRetirement Benefits GroupLPL Financial03-20-2014
James Elliott, Dana Wright, Gregory FrankosInvestacorpLPL Financial$6803-18-2014
Charles Wareham, Craig Breitsprecher, Tom Polowy, Vincent WinansIndependent Financial GroupLPL Financial$9503-17-2014
Phillip AndersonAmeriprise FinancialLPL Financial$5702-14-2014
Joseph W. MoyerNational PlanningLPL Financial$6012-09-2013
Terry Wiles, Ryan SmithRaymond JamesLPL Financial$14610-31-2013
Brent V. LottGirard SecuritiesLPL Financial$7110-28-2013
Joseph G. YurgecNPB Financial GroupLPL Financial$20009-05-2013
Patrick Buchanan, Dominic Nori, Adam GoldsteinRaymond JamesLPL Financial$31009-03-2013
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Showing 51 to 75 of 115 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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