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

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Adviser(s) Firm joining Firm leaving AUM ($M) Date
Daniel C EisenhoothState Farm VP Management Corp.NYLIFE Securities LLC02-17-2010
Chad Aaron HarperKestra Investment Services, LLCNYLIFE Securities LLC07-16-2010
Grover Edward StultsAvantax Investment Services, Inc.NYLIFE Securities LLC09-28-2010
Ryan C SmithLincoln Financial Advisors CorporationNYLIFE Securities LLC$2502-23-2011
Gerard Michael HookTransamerica Financial Advisors, IncNYLIFE Securities LLC11-21-2012
Wayne Owen DrazekAllstate Financial Services, LLCNYLIFE Securities LLC08-15-2013
Troy Dallas RothTIAA-CREF Individual & Institutional Services, LLCNYLIFE Securities LLC05-02-2014
Jonathan R ReesAllstate Financial Services, LLCNYLIFE Securities LLC$2507-16-2014
Jeffrey Christopher DreselyWells Fargo Clearing Services, LLCNYLIFE Securities LLC12-08-2014
Tania Zippora KanarekAllstate Financial Services, LLCNYLIFE Securities LLC02-25-2015
Joseph M WillseAllstate Financial Services, LLCNYLIFE Securities LLC04-23-2015
David Michael SchneiderPruco Securities, LLC.NYLIFE Securities LLC11-09-2016
Randall Thomas OscheWells Fargo Clearing Services, LLCNYLIFE Securities LLC11-16-2016
Peter Gerald CurranPruco Securities, LLC.NYLIFE Securities LLC11-23-2016
Frank Joseph MoschellaWells Fargo Clearing Services, LLCNYLIFE Securities LLC12-09-2016
James OConnor ScottEquitable Advisors, LLCNYLIFE Securities LLC12-12-2017
Roberto Alvarez Alvarez AlonsoSantander Securities LLCNYLIFE Securities LLC02-23-2018
Kerry Ann LapattaKey Investment Services LLCNYLIFE Securities LLC03-06-2018
Ricardo E HawkinsPruco Securities, LLC.NYLIFE Securities LLC08-23-2018
Gary Michael KlazmerEquitable Advisors, LLCNYLIFE Securities LLC$5011-27-2018
Mark Ronald DalbowInfinex Investments, Inc.NYLIFE Securities LLC12-14-2018
Yu ChenJ. Alden Associates, Inc.NYLIFE Securities LLC02-13-2019
Richard Joshua WhitelockMML Investors Services, LLCNYLIFE Securities LLC04-30-2019
Edward F HeardW&S Brokerage Services, Inc.NYLIFE Securities LLC08-06-2019
Peter Matthew HoffmanPruco Securities, LLC.NYLIFE Securities LLC09-24-2019
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Showing 1 to 25 of 36 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 InvestmentNews.com and can not be resold, republished, redistributed, sublicensed, or copied for any other use without the permission of InvestmentNews LLC.