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
Leo RosnerCambridge Investment Research, Inc.Sagepoint Financial, Inc.$2708-02-2019
Robert Henry RutledgeFSC Securities CorporationSagepoint Financial, Inc.$10407-01-2019
Robert Allen DicolaFirst Allied Securities, Inc.Sagepoint Financial, Inc.$1206-05-2019
Anita Marie SopenoffSecurities America, Inc.Sagepoint Financial, Inc.$105-30-2019
Dawn Michelle HemmingHemming& Wealth Management, Inc.Sagepoint Financial, Inc.05-01-2019
Autumn C. SoltysiakHemming& Wealth Management, Inc.Sagepoint Financial, Inc.05-01-2019
Kristopher M. WadsworthLPL Financial LLCSagePoint Financial, Inc.$5004-22-2019
Kathy K JurgensenClient One Securities LLCSagePoint Financial, Inc.04-08-2019
Daniel B ChancellorCetera Advisor Networks LLCSagePoint Financial, Inc.$1003-13-2019
Josiah David BallCambridge Investment Research, Inc.SagePoint Financial, Inc.02-01-2019
Gregg Scott LicksteinCadaret, Grant & Co., Inc.SagePoint Financial, Inc.01-09-2019
Andrew L DejongWoodstock Financial Group, Inc.SagePoint Financial, Inc.01-08-2019
Michael James KerriganCalton & Associates, Inc.SagePoint Financial, Inc.01-07-2019
Danielle Marie FasciJ.P. Morgan Securities LLCSagePoint Financial, Inc.01-04-2019
Melynda Sue AngioiMutual Securities, Inc.SagePoint Financial, Inc.$101-02-2019
Elizabeth Kay GugelRaymond James Financial Services, Inc.SagePoint Financial, Inc.11-28-2018
Daniel G DillardNest Financial LLCSagePoint Financial, Inc.11-06-2018
John Patrick Drohan Jr.Main Effort Financial, Inc.SagePoint Financial, Inc.10-25-2018
Joanne Hong TranMerrill Lynch, Pierce, Fenner & Smith IncorporatedSagePoint Financial, Inc.10-15-2018
Wendy Lou MitchellAmeriprise Financial Services, Inc.SagePoint Financial, Inc.10-15-2018
Stephen Thomas StricklandStonehenge Private Client Group, LLCSagePoint Financial, Inc.09-28-2018
Wendy Trahan CepakMorgan StanleySagePoint Financial, Inc.09-28-2018
Douglas Ray Tucker Jr.Tucker Financial GroupSagePoint Financial, Inc.09-25-2018
Robert David CroddyFortune Financial Services, Inc.SagePoint Financial, Inc.09-12-2018
Adam John SwandaLPL Financial LLCSagePoint Financial, Inc.$10008-20-2018
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Showing 1 to 25 of 482 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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