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
Richard Alan CarrollAllstate Financial Services, LLCMML Investors Services, LLC11-20-2017
Christopher Connor RolfAltrius Capital Management, Inc.MML Investors Services, LLC08-13-2015
Laird W. HepburnBSG AdvisersMML Investors Services, LLC09-26-2018
John Haywood Lyon Jr.Cambridge Investment Research, Inc.MML Investors Services, LLC02-05-2018
Richard Elwood Rose IIICapital Investment Group, Inc.MML Investors Services, LLC01-21-2016
Timothy Clay Ebert, Paul Andrew EbertCommonwealth Financial NetworkMML Investors Services, LLC04-02-2015
Mark Thomas WaltonCUSO Financial Services, L.P.MML Investors Services, LLC$5007-24-2018
Newman Alexander Townsend IIIFSC Securities CorporationMML Investors Services, LLC$1005-18-2009
Walter Paul ShoczolekHD Vest Investment ServicesMML Investors Services, LLC01-28-2015
Steven Michael WhiteInnovation Partners LLCMML Investors Services, LLC$2503-03-2014
Robert Henry DarntonInnovation Partners LLCMML Investors Services, LLC06-11-2013
David Barnett GoldfarbInnovation Partners LLCMML Investors Services, LLC06-03-2013
Thomas Joseph VorenbergInnovation Partners LLCMML Investors Services, LLC05-31-2013
Sandra Lois ZiglarLincoln Financial Securities CorporationMML Investors Services, LLC06-01-2009
Michael G. SisneyLPL Financial LLCMML Investors Services, LLC$1008-09-2012
Steven B. HarrellLPL Financial LLCMML Investors Services, LLC02-01-2011
Ian BloomOpen World Financial Life PlanningMML Investors Services, LLC08-22-2018
Misty Leigh Leighton PetrosinoPark Avenue Securities LLCMML Investors Services, LLC07-31-2017
Buddy Dean CarterPark Avenue Securities LLCMML Investors Services, LLC04-02-2012
Michael Anthony ThompsonPark Avenue Securities LLCMML Investors Services, LLC$1002-06-2012
Anthony Andrew MontiniPark Avenue Securities LLCMML Investors Services, LLC02-03-2012
William Park DavidsonPark Wealth Management, LLCMML Investors Services, LLC01-24-2014
Joseph HubbardPNC InvestmentsMML Investors Services, LLC11-29-2018
Marc Anthony ShepherdPrincipal Securities, Inc.MML Investors Services, LLC06-03-2019
Sean H. DematteoPrincipal Securities, Inc.MML Investors Services, LLC06-03-2019
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Showing 1 to 25 of 36 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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