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
Jeannine Rafaela Tria ZamoraSantander Securities LLCNYLIFE Securities LLC11-07-2018
Mark Frederick AubuchonCitizens Securities, Inc.NYLIFE Securities LLC10-30-2018
Daniel Joseph Ferreira Jr.Santander Securities LLCNYLIFE Securities LLC05-24-2018
Marcell Sherman RobateauMerrill Lynch, Pierce, Fenner & Smith IncorporatedNYLIFE Securities LLC03-26-2018
Michael Robert DunnMerrill Lynch, Pierce, Fenner & Smith IncorporatedNYLIFE Securities LLC07-18-2017
Jeffrey Weston WheelerEdward JonesNYLIFE Securities LLC$106-02-2017
Harold Jay ZazulaLPL Financial LLCNYLIFE Securities LLC05-08-2017
Thomas Glen MantiaCitizens Securities, Inc.NYLIFE Securities LLC03-09-2017
Mark Joseph LombardiStrategic Advisers LLCNYLIFE Securities LLC02-28-2017
Brian William OttSurepath Wealth ManagementNYLIFE Securities LLC09-12-2016
Darrien M SlaughterMetLife Securities Inc.NYLIFE Securities LLC09-07-2016
Andrew Ian SmithCitizens Securities, Inc.NYLIFE Securities LLC08-30-2016
William Giblin HeaneyMetLife Securities Inc.NYLIFE Securities LLC08-26-2016
John Edward Williams IIIMetLife Securities Inc.NYLIFE Securities LLC08-12-2016
Thomas J VineLPL Financial LLCNYLIFE Securities LLC07-28-2016
Huy NguyenSantander Securities LLCNYLIFE Securities LLC04-08-2016
Cheryl Pamela BerthiaumePrincipal Securities, Inc.NYLIFE Securities LLC$5004-01-2016
William Mchale HarrisonGage-Wiley & Co., Inc.NYLIFE Securities LLC03-17-2016
Kevin Machado BettencourtSantander Securities LLCNYLIFE Securities LLC01-06-2016
Thomas Michael MuradianCitizens Securities, Inc.NYLIFE Securities LLC01-05-2016
Salvatore Alfred Mondello Jr.Citizens Securities, Inc.NYLIFE Securities LLC12-15-2015
David Gerald PlayerMML Investors Services, LLCNYLIFE Securities LLC10-29-2015
Alison Hill MorantHornor, Townsend & Kent, LLCNYLIFE Securities LLC10-16-2015
Timothy Todd EhlersHornor, Townsend & Kent, LLCNYLIFE Securities LLC09-11-2015
David Allan KerrCitizens Securities, Inc.NYLIFE Securities LLC07-23-2015
Next Page »

Showing 1 to 25 of 57 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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