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.

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Latest moves


Adviser(s) Firm joining Firm leaving AUM ($M) Date
Michael Philip WatersSecurities America, Inc.MML Investors Services, LLC$2506-01-2009
Benjamin Ross ChafitzSecurities America, Inc.MML Investors Services, LLC$5006-01-2009
Michael Carl ProbstSecurities America, Inc.MML Investors Services, LLC$5006-01-2009
Barry Frederick DrogyBrokerageSelectMML Investors Services, LLC02-12-2010
Aileen Farrell SchruthUBS Financial Services Inc.MML Investors Services, LLC03-01-2010
David William Johnston JrNYLIFE Securities LLCMML Investors Services, LLC04-01-2010
John Harold SpoletiPark Avenue Securities LLCMML Investors Services, LLC04-19-2010
Joseph BoydBrighton Securities Corp.MML Investors Services, LLC$10009-07-2010
Gay Lynn MatteiNorthwestern Mutual Investment Services, LLCMML Investors Services, LLC$10010-22-2010
Joanann Blaise NatolaCommonwealth Financial NetworkMML Investors Services, LLC02-01-2011
Alexandra E LeviCommonwealth Financial NetworkMML Investors Services, LLC$10002-01-2011
Lore Marie GordonDinosaur Financial Group, L.L.CMML Investors Services, LLC02-16-2011
Thomas Patrick DonahueLincoln Financial Securities CorporationMML Investors Services, LLC05-02-2011
Jose O SeguraPark Avenue Securities LLCMML Investors Services, LLC$5005-12-2011
Jeffrey Joseph GambuzzaPark Avenue Securities LLCMML Investors Services, LLC09-22-2011
Scott LewisSecurities America, Inc.MML Investors Services, LLC$5010-21-2011
Thomas John CannanWaddell & ReedMML Investors Services, LLC12-21-2011
Sallie Mullins ThompsonAvantax Investment Services, Inc.MML Investors Services, LLC03-14-2012
Michael P O SullivanPark Avenue Securities LLCMML Investors Services, LLC$5003-30-2012
Mario D AsaroEquity Services, Inc.MML Investors Services, LLC04-26-2012
Christopher John BattisteLPL Financial LLCMML Investors Services, LLC$10006-01-2012
Richard Joseph EggerLincoln Financial Advisors CorporationMML Investors Services, LLC$5002-27-2013
Keith M DefazioLPL Financial LLCMML Investors Services, LLC03-05-2013
Liam Joseph GilroyEquity Services, Inc.MML Investors Services, LLC03-20-2013
Conway Porter IIIPrincipal Securities, Inc.MML Investors Services, LLC04-05-2013
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Showing 1 to 25 of 202 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.