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
Rea Samuel PtacinAllstate Financial Services, LLCPrincipal Securities, Inc.03-25-2019
Paul William StratosMML Investors Services, LLCPrincipal Securities, Inc.12-07-2018
Jennifer Carol SpearsTIAA-CREF Individual & Institutional Services, LLCPrincipal Securities, Inc.11-20-2018
Keith Emory MaysNorthwestern Mutual Investment Services, LLCPrincipal Securities, Inc.09-26-2018
Nicholas Chase MilesLPL Financial LLCPrincipal Securities, Inc.08-13-2018
Byron WhatleyHornor, Townsend & Kent, LLCPrincipal Securities, Inc.03-20-2018
Michael Lyons Thomas IIIPrincipal Securities, Inc.Principal Securities, Inc.02-26-2018
Kristen E. MitchellW&S Brokerage Services, Inc.Principal Securities, Inc.01-10-2018
Thomas DwightW&S Brokerage Services, Inc.Principal Securities, Inc.01-04-2018
Laura Lee OdeaLPL Financial LLCPrincipal Securities, Inc.07-26-2017
Willie Darnell EverettPruco Securities, LLC.Principal Securities, Inc.06-28-2017
Kenneth Roger BollingerNiagara International Capital LimitedPrincipal Securities, Inc.05-10-2017
Scott Joseph LordNiagara International Capital LimitedPrincipal Securities, Inc.05-10-2017
Kevin Anthony HarperFirst Citizens Investor Services, Inc.Principal Securities, Inc.03-03-2017
Bradford Lee JenkinsPark Avenue Securities LLCPrincipal Securities, Inc.02-24-2017
Russell Wayne JohnsonPruco Securities, LLC.Principal Securities, Inc.02-13-2017
Jasper Newton Watson IIIScottrade, Inc.Principal Securities, Inc.12-05-2016
Clark CallawayCapital Investment Group, Inc.Principal Securities, Inc.$1011-22-2016
Mark Sean KellyCambridge Investment Research, Inc.Principal Securities, Inc.08-01-2016
Josiah WhittenMML Investors Services, LLCPrincipal Securities, Inc.07-27-2016
Christopher Ross McCainW&S Brokerage Services, Inc.Principal Securities, Inc.07-26-2016
Duane Scott PellmanIntercarolina Financial Services, Inc.Principal Securities, Inc.05-05-2016
John Dewalden EllerAllstate Financial Services, LLCPrincipal Securities, Inc.05-04-2016
Nancy Jean WilliamsCambridge Investment Research, Inc.Principal Securities, Inc.03-08-2016
Brian Michael BaroneMetLife Securities Inc.Principal Securities, Inc.06-09-2015
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Showing 1 to 25 of 48 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.