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
Arna Justine MooreThe Huntington Investment CompanyNYLIFE Securities LLC12-23-2009
Eric Horacio GonzalezSignator Investors, Inc.NYLIFE Securities LLC11-12-2010
Kara Lea SproatThe Huntington Investment CompanyNYLIFE Securities LLC11-29-2010
Robert M. BallardChase Investment Services Corp.NYLIFE Securities LLC03-21-2011
Dale Alan BenderAmeriprise Financial Services, LLCNYLIFE Securities LLC10-16-2012
John W. LehmanTIAA-CREF Individual & Institutional Services, LLCNYLIFE Securities LLC$5012-12-2012
Bradley C. BergerMerrill Lynch, Pierce, Fenner & Smith IncorporatedNYLIFE Securities LLC07-19-2013
Earl Edward Robinson IIIJ.P. Morgan Securities LLCNYLIFE Securities LLC07-25-2013
Matthew Louis RzepkaCambridge Investment Research, Inc.NYLIFE Securities LLC$1008-07-2013
Matthew D. AddyMML Investors Services, LLCNYLIFE Securities LLC09-11-2013
Darlene CheatomRoyal Alliance Associates, Inc.NYLIFE Securities LLC$5004-22-2014
Michael Andrew ShapiroState Farm VP Management Corp.NYLIFE Securities LLC04-28-2014
Robert James DiekemaWaddell & ReedNYLIFE Securities LLC10-24-2014
Adam W. FliehmanCetera Advisors LLCNYLIFE Securities LLC01-02-2015
Paul Leon ColeMML Investors Services, LLCNYLIFE Securities LLC06-26-2015
Randal Warren FischerMetLife Securities Inc.NYLIFE Securities LLC$2509-30-2015
Maria Victoria U. FoughtMetLife Securities Inc.NYLIFE Securities LLC10-26-2015
Drew Michael ShapiroMML Investors Services, LLCNYLIFE Securities LLC02-12-2016
Michael Edward SullivanCetera Advisors LLCNYLIFE Securities LLC05-05-2016
Shane Anthony ThompsonSigma Financial CorporationNYLIFE Securities LLC12-21-2016
John Louis DalyLPL Financial LLCNYLIFE Securities LLC02-10-2017
Kevin M. DoyleFifth Third Securities, Inc.NYLIFE Securities LLC06-27-2017
Ronald S. Thompson SrFinancial Strategies Group, IncNYLIFE Securities LLC08-01-2017
Brandon Ellis CarterFinancial Strategies Group, IncNYLIFE Securities LLC08-01-2017
Brice Patrick CarterFinancial Strategies Group, IncNYLIFE Securities LLC08-01-2017
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Showing 1 to 25 of 52 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.