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
Ann PolokoAnn Poloko, LLCNational Planning Corporation10-23-2017
Thomas David AhrendtCambridge Investment Research, Inc.National Planning Corporation11-29-2017
Thomas Joseph NohrCambridge Investment Research, Inc.National Planning Corporation10-30-2017
Tan Duy NguyenCambridge Investment Research, Inc.National Planning Corporation10-24-2017
Steven YokomizoCambridge Investment Research, Inc.National Planning Corporation$4110-02-2017
Steve Emmet WalkerCentaurus Financial, Inc.National Planning Corporation$5001-08-2018
Gail Lebeau MarshallCentaurus Financial, Inc.National Planning Corporation11-03-2017
Michael Scott BagocusCentaurus Financial, Inc.National Planning Corporation$2504-18-2016
Norman Fred PoolCentaurus Financial, Inc.National Planning Corporation11-15-2012
Rocco Christopher BarbaroCetera Advisor Networks LLCNational Planning Corporation01-18-2018
Matthew Thomas LaveroneCetera Advisor Networks LLCNational Planning Corporation03-18-2011
John Christian CortCompass Wealth AdvisorsNational Planning Corporation01-02-2013
Heidi DemayoDe Mayo FinancialNational Planning Corporation03-25-2014
David RaeDRM Wealth ManagementNational Planning Corporation06-07-2017
Celeste Karen WallDynamic Wealth AdvisorsNational Planning Corporation10-30-2015
Lloyd AlanEquitable Advisors, LLCNational Planning Corporation08-07-2014
Philippos Phanerious GratsinopoulosFarmers Financial Solutions, LLCNational Planning Corporation02-17-2011
Lucille M ShawFinances For Life, LLCNational Planning Corporation04-19-2013
John Harvey HeilFirst Allied Securities, Inc.National Planning Corporation$3604-12-2013
John Daniel KeenanGWN Securities Inc.National Planning Corporation$15006-25-2010
John Moore Charlene BurkhardtIndependent Advisor Alliance, LLCNational Planning Corporation$5006-30-2016
Nadine LordIndependent Advisor Alliance, LLCNational Planning Corporation$5006-29-2016
Charlene Marie BurkhardtIndependent Advisor Alliance, LLCNational Planning Corporation06-30-2016
Marco David FontaniIndependent Financial Group, LLCNational Planning Corporation$5011-02-2017
James Matthew PattonIndependent Financial Group, LLCNational Planning Corporation$5010-24-2017
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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 ā€œ ā€” ā€œ is listed in the recordā€™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.