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
Arlene G. EricsonHD Vest Investment ServicesPrincipal Securities, Inc.12-21-2017
Charles Edwin TeeterNext Financial Group, Inc.Principal Securities, Inc.$1009-14-2015
Claudia Elizabeth De La RosaM Holdings Securities, Inc.Principal Securities, Inc.08-18-2016
Douglas Grant BashawAllstate Financial Services, LLCPrincipal Securities, Inc.$1005-30-2013
Elizabeth Anne WilsonHilltop Securities Independent Network Inc.Principal Securities, Inc.11-01-2018
Frank Francisco Acosta Jr.Sigma Financial CorporationPrincipal Securities, Inc.$5010-29-2014
Gabriel George LogsdonSigma Financial CorporationPrincipal Securities, Inc.11-03-2014
J Paul Paul B. PrasifkaRhodes Securities, Inc.Principal Securities, Inc.05-20-2013
Jason Wade BohmannSecurities Service Network, LLCPrincipal Securities, Inc.07-31-2017
Joan Pandola NyeAmeriprise Financial Services, Inc.Principal Securities, Inc.$15008-18-2015
John Mark CastroAllstate Financial Services, LLCPrincipal Securities, Inc.05-17-2016
John Robert GallagherGallagher Capital Advisors, LLCPrincipal Securities, Inc.07-21-2014
Kenton Heath FagenWealthPlan Advisors, LLCPrincipal Securities, Inc.11-30-2016
Manuel TristanAllstate Financial Services, LLCPrincipal Securities, Inc.06-10-2014
Michael Edward HipsonAmeritas Investment Corp.Principal Securities, Inc.$5002-29-2016
Patrick McCabeVisionPoint Advisory GroupPrincipal Securities, Inc.04-05-2019
Peter Joseph VanderlofskeProEquities, Inc.Principal Securities, Inc.07-17-2014
Pradip Bhagwanji ShahMorgan StanleyPrincipal Securities, Inc.$1007-12-2016
Richard Nicholas RimatoSagePoint Financial, Inc.Principal Securities, Inc.$4907-20-2017
Robert Mark Buchanan Jr.UBS Financial Services Inc.Principal Securities, Inc.06-27-2018
Steven Todd RuelasAllstate Financial Services, LLCPrincipal Securities, Inc.07-20-2016
Valerie Kaye IngramNYLIFE Securities LLCPrincipal Securities, Inc.03-18-2009
Vibha Janarden RawalAllstate Financial Services, LLCPrincipal Securities, Inc.10-06-2016
Victoria Carney WallaceState Farm VP Management Corp.Principal Securities, Inc.01-26-2012
Wesley Ryon SorensenLPL Financial LLCPrincipal Securities, Inc.01-17-2019

Showing 1 to 25 of 25 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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