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
Paul HynesPlanMember SecuritiesSII Investments$10004-11-2011
Mark Cortazzo, Nicholas Spagnoletti Jr., Jay LaMalfa, Thomas MoyerLPL FinancialSII Investments$65011-08-2012
Jim Galante, Michael Lambrix, Jeremy LaubCommonwealth Financial NetworkSII Investments$25001-18-2013
Shannon J. Case, Mark J. SlatterySecurities AmericaSII Investments$13006-03-2013
Terry Sawchuk, Bill LangensteinKestra FinancialSII Investments$15508-18-2014
Anthony Untersee, Charles ProuteyInvestacorpSII Investments$5008-22-2014
Edward KlugInvestacorpSII Investments$5010-01-2014
Steven J. DryerLPL FinancialSII Investments$15010-31-2014
Stephen LawandalesFSC SecuritiesSII Investments$14004-10-2015
Carmen Cercone, Kyle Richardson, Thomas Lundgaard, Tyler Brilinski, James BruceKestra FinancialSII Investments$70011-15-2016
Phil WoodAmeriprise FinancialSII Investments$38011-16-2017
Mark Miehe, Matt Cuplin, Brandon Masbruch and Tony PochowskiCommonwealth Financial NetworkSII Investments$18612-01-2017
Patrick Ferrigno, Paul Ferrigno, Gregory MireckiFSC SecuritiesSII Investments$30012-12-2017
Paul MauroSagePoint FinancialSII Investments$65612-21-2017
Greg Ostrowski, Ian Arrowsmith, Jay Sprinkel, Ryan Ansted, Shawn WalkerIndependent Financial GroupSII Investments$87501-02-2018
Pamela Davis, Chris DavisKestra FinancialSII Investments$11002-27-2018
Kitt Griffin, Steven LivitzKestra FinancialSII Investments$12004-09-2018

Showing 1 to 17 of 17 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.

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