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
Sallie Mullins ThompsonHD Vest Investment ServicesMML Investors Services, LLC03-14-2012
Robert Kenneth Richards IIISecurian Financial Services, Inc.MML Investors Services, LLC03-14-2012
Gregory Howard KampAllstate Financial Services, LLCMML Investors Services, LLC03-19-2012
John Jay Higgins Jr.Commonwealth Financial NetworkMML Investors Services, LLC$10003-21-2012
Mary D. PhelpsMerrill Lynch, Pierce, Fenner & Smith IncorporatedMML Investors Services, LLC03-26-2012
Michael Patrick O'SullivanPark Avenue Securities LLCMML Investors Services, LLC$2503-30-2012
Buddy Dean CarterPark Avenue Securities LLCMML Investors Services, LLC04-02-2012
Ralph Edward NelsonHD Vest Investment ServicesMML Investors Services, LLC$1004-26-2012
Mario D AsaroEquity Services, Inc.MML Investors Services, LLC04-26-2012
James V PetersCentaurus Financial, Inc.MML Investors Services, LLC05-07-2012
Michael Patrick ErtelLPL Financial LLCMML Investors Services, LLC05-10-2012
David James JorgensenMorgan StanleyMML Investors Services, LLC05-14-2012
William David RomanelloCambridge Investment Research, Inc.MML Investors Services, LLC05-17-2012
John Thomas Harten IIILPL Financial LLCMML Investors Services, LLC05-29-2012
Eric Charlton PostPark Avenue Securities LLCMML Investors Services, LLC05-30-2012
Christopher John BattisteLPL Financial LLCMML Investors Services, LLC06-01-2012
Jeffrey Scott PirklSigma Financial CorporationMML Investors Services, LLC06-01-2012
John Brian LeeCambridge Investment Research, Inc.MML Investors Services, LLC$5006-07-2012
Dorothy Dacus NorthamPrincipal Securities, Inc.MML Investors Services, LLC06-07-2012
Heywood Axtell Turner IIICambridge Investment Research, Inc.MML Investors Services, LLC$20006-11-2012
James D. Hutchinson IVEdward JonesMML Investors Services, LLC06-14-2012
Thomas T. Williams Jr.Park Avenue Securities LLCMML Investors Services, LLC07-03-2012
Michael Robert BakerWoodbury Financial Services, Inc.MML Investors Services, LLC$1007-20-2012
Brett Matthew AmendolaPark Avenue Securities LLCMML Investors Services, LLC08-07-2012
Michael G. SisneyLPL Financial LLCMML Investors Services, LLC$1008-09-2012
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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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