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
Hassen LopezEquity Services, Inc.NYLIFE Securities LLC05-14-2019
Joseph L. Lemois Jr.Park Avenue Securities LLCNYLIFE Securities LLC04-16-2018
Joseph Patrick WelshMML Investors Services, LLCNYLIFE Securities LLC02-23-2018
Rafael Eduardo LopezAXA Advisors, LLCNYLIFE Securities LLC09-22-2017
Grant Daniel WestVALIC Financial Advisors, Inc.NYLIFE Securities LLC08-23-2016
Brian Patrick HendrickWells Fargo Clearing Services, LLCNYLIFE Securities LLC08-19-2016
Jose Alberto MataLPL Financial LLCNYLIFE Securities LLC08-18-2016
Joseph Barnard LaneProEquities, Inc.NYLIFE Securities LLC$15001-06-2016
Frank Carmen Zito Jr.MML Investors Services, LLCNYLIFE Securities LLC12-10-2015
Thomas Robert Frank IIIUSAA Financial Advisors, Inc.NYLIFE Securities LLC04-14-2015
Thomas Dame SiplinPruco Securities, LLC.NYLIFE Securities LLC10-10-2014
Michael Russell WilliamsPark Avenue Securities LLCNYLIFE Securities LLC12-08-2011
Ruben Victor RozentalBlack Pearl Financial Services LLCNYLIFE Securities LLC04-21-2011

Showing 1 to 13 of 13 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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