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
Lakis Allen KisgerAdvantage Investment Management, LLCNational Planning Corporation01-14-2009
Karlos Alberto GuerraAllstate Financial Services, LLCNational Planning Corporation$50008-02-2011
Jeffrey Robert LavinAmeriprise Financial Services, Inc.National Planning Corporation$50011-10-2016
Hank Yeh WangAmeriprise Financial Services, Inc.National Planning Corporation$10007-01-2015
Thomas Edward LeighAmeritas Investment Corp.National Planning Corporation10-03-2014
Ann PolokoAnn Poloko, LLCNational Planning Corporation10-23-2017
Lloyd AlanAXA Advisors, LLCNational Planning Corporation08-07-2014
Chad Daniel HornadayAXA Advisors, LLCNational Planning Corporation05-01-2013
Richard Gilbert AllardAXA Advisors, LLCNational Planning Corporation$10011-09-2011
Brooke Elizabeth WarnerAXA Advisors, LLCNational Planning Corporation$15008-01-2010
Madhuvanti Vijay MaliBBVA Securities Inc.National Planning Corporation07-07-2015
Thomas David AhrendtCambridge Investment Research, Inc.National Planning Corporation11-29-2017
Thomas Joseph NohrCambridge Investment Research, Inc.National Planning Corporation$25010-30-2017
Steven YokomizoCambridge Investment Research, Inc.National Planning Corporation$41010-02-2017
Gail Lebeau MarshallCentaurus Financial, Inc.National Planning Corporation11-03-2017
Michael Scott BagocusCentaurus Financial, Inc.National Planning Corporation$25004-18-2016
Norman Fred PoolCentaurus Financial, Inc.National Planning Corporation$10011-15-2012
Matthew Thomas LaveroneCetera Advisor Networks LLCNational Planning Corporation03-18-2011
Kelly P CunninghamChase Investment Services Corp.National Planning Corporation02-28-2011
Sergio Steven SalupChase Investment Services Corp.National Planning Corporation02-21-2011
Alma C EdralinChase Investment Services Corp.National Planning Corporation01-10-2011
Ramez RahebChase Investment Services Corp.National Planning Corporation11-05-2010
Oganes John GambarianChase Investment Services Corp.National Planning Corporation09-20-2010
Christopher Philip JenningsChase Investment Services Corp.National Planning Corporation02-01-2010
Raul Zavala RodriguezChase Investment Services Corp.National Planning Corporation01-11-2010
Next Page »

Showing 1 to 25 of 189 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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