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
Joseph Frank SwainMutual Securities, Inc.LPL Financial LLC11-06-2015
Joshua Robert KeithLaguna Capital Management, Inc.LPL Financial LLC11-05-2015
Anthony Bruce CarrCarr Wealth Management LLCLPL Financial LLC10-08-2015
Chiu-Ni WangWestern International Securities, Inc.LPL Financial LLC09-29-2015
Shih Hua LiuWoodbury Financial Services, Inc.LPL Financial LLC09-08-2015
Michael Dwaine WatsonIndependent Financial Group, LLCLPL Financial LLC09-01-2015
James Lynn RobuckJL Robuck CompanyLPL Financial LLC08-27-2015
Thomas Edward HaynesVine Capital Management, LLCLPL Financial LLC08-04-2015
Timothy Richard YeeIndependent Financial Group, LLCLPL Financial LLC$5007-08-2015
Deanna Raquel BamfordCapFinancial Securities, LLC.LPL Financial LLC07-08-2015
Edwin Courtney McClure IIIIndependent Financial Group, LLCLPL Financial LLC$2507-07-2015
Larry Dwayne WimsattSecurities America, Inc.LPL Financial LLC06-25-2015
Ross Robert PakeCetera Advisors LLCLPL Financial LLC$10006-22-2015
Michael Gerald ZeigerCetera Advisors LLCLPL Financial LLC$5006-17-2015
Bryan Alan DuckettLiberty Partners Financial Services, LLCLPL Financial LLC$5006-16-2015
Sean Michael ParksMorgan StanleyLPL Financial LLC$1006-03-2015
Rolando LopezMerrill Lynch, Pierce, Fenner & Smith IncorporatedLPL Financial LLC06-02-2015
Paul Wesley FurushoTactivest, LLCLPL Financial LLC06-01-2015
Heidi S MorsheadShira Ridge Wealth ManagementLPL Financial LLC05-13-2015
Rick Alan MeissSCF Securities, Inc.LPL Financial LLC$1004-21-2015
Lynette Ann RaichleMerrill Lynch, Pierce, Fenner & Smith IncorporatedLPL Financial LLC04-21-2015
Craig Mitchel CohnCommonwealth Financial NetworkLPL Financial LLC04-17-2015
Frank Patrick AnderesKovack Securities Inc.LPL Financial LLC$5004-07-2015
John Ernest OritoSummit Brokerage Services, Inc.LPL Financial LLC03-26-2015
Jamie Christopher CareyCarey Wealth ManagementLPL Financial LLC03-23-2015
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Showing 176 to 200 of 333 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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