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
Michael Philip WatersSecurities America, Inc.MML Investors Services, LLC06-01-2009
Aileen Farrell SchruthUBS Financial Services Inc.MML Investors Services, LLC03-01-2010
David William Johnston Jr.NYLIFE 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, LLC09-07-2010
Gay Lynn MatteiNorthwestern Mutual Investment Services, LLCMML Investors Services, LLC10-22-2010
Jose Orlando SeguraPark Avenue Securities LLCMML Investors Services, LLC05-12-2011
Jeffrey Joseph GambuzzaPark Avenue Securities LLCMML Investors Services, LLC09-22-2011
Scott LewisSecurities America, Inc.MML Investors Services, LLC10-21-2011
Thomas John CannanWaddell & ReedMML Investors Services, LLC12-21-2011
Michael Patrick O'SullivanPark Avenue Securities LLCMML Investors Services, LLC$2503-30-2012
Mario D AsaroEquity Services, Inc.MML Investors Services, LLC04-26-2012
Richard Joseph EggerLincoln Financial Advisors CorporationMML Investors Services, LLC02-27-2013
Jay Michael ScienzaKey Investment Services LLCMML Investors Services, LLC02-28-2013
Keith M DefazioLPL Financial LLCMML Investors Services, LLC03-05-2013
Conway Porter IIIPrincipal Securities, Inc.MML Investors Services, LLC04-05-2013
Robert M HaydenTotal Alignment Wealth Advisors, LLCMML Investors Services, LLC04-11-2013
Theresa Lynn EllisIBN Financial Services, Inc.MML Investors Services, LLC$10004-15-2013
Herbert Cowenhoven Barnes Jr.Cadaret, Grant & Co., Inc.MML Investors Services, LLC$1005-01-2013
Daniel Norman EngelhardtEquity Services, Inc.MML Investors Services, LLC06-11-2013
James Joseph MotaAllstate Financial Services, LLCMML Investors Services, LLC06-18-2013
Scott B ZuckermanLPL Financial LLCMML Investors Services, LLC08-27-2013
Anthony Timothy FrancisSecurities America, Inc.MML Investors Services, LLC09-03-2013
Justin Scott SchecknerLPL Financial LLCMML Investors Services, LLC11-15-2013
A. Dale SchaeferCetera Advisor Networks LLCMML Investors Services, LLC11-27-2013
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Showing 1 to 25 of 126 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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