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
Josiah David BallCambridge Investment Research, Inc.SagePoint Financial, Inc.02-01-2019
Joanne Hong TranMerrill Lynch, Pierce, Fenner & Smith IncorporatedSagePoint Financial, Inc.10-15-2018
Katherine M SalterIndependent Financial Group, LLCSagePoint Financial, Inc.$5004-09-2018
Robert Richard WolfTF Wealth Management, LLCSagePoint Financial, Inc.03-05-2018
Robert Nieto Jr.LPL Financial LLCSagePoint Financial, Inc.$2501-24-2018
Derek James PritchardParkland Securities, LLCSagePoint Financial, Inc.11-06-2017
Stephen Paul MilnerAllegis Investment Services, LLCSagePoint Financial, Inc.07-27-2017
Sean Alan LockwoodJ.P. Morgan Securities LLCSagePoint Financial, Inc.07-26-2017
Christian TorresMerrill Lynch, Pierce, Fenner & Smith IncorporatedSagePoint Financial, Inc.07-24-2017
Jason Morgan PerkinsAllegis Investment Services, LLCSagePoint Financial, Inc.06-30-2017
Benjamin Patrick Anh SmitsMorgan StanleySagePoint Financial, Inc.05-04-2017
Jeffrey David FinleySignator Investors, Inc.SagePoint Financial, Inc.04-13-2017
Michael W FunkSignator Investors, Inc.SagePoint Financial, Inc.03-07-2017
Jonathan PujolsHD Vest Investment ServicesSagePoint Financial, Inc.02-07-2017
Joshua K. AwumaHD Vest Investment ServicesSagePoint Financial, Inc.01-30-2017
Sherman Singming FongFirst Heartland Capital, Inc.SagePoint Financial, Inc.01-05-2017
Danilo CaldeiraMerrill Lynch, Pierce, Fenner & Smith IncorporatedSagePoint Financial, Inc.11-25-2016
Rodolfo Ruiz Jr.Western International Securities, Inc.SagePoint Financial, Inc.11-09-2016
Thomas M HannaMerrill Lynch, Pierce, Fenner & Smith IncorporatedSagePoint Financial, Inc.08-24-2016
Lori Jean VermeerACCELERATED CAPITAL GROUPSagePoint Financial, Inc.08-10-2016
Connie PhanMerrill Lynch, Pierce, Fenner & Smith IncorporatedSagePoint Financial, Inc.05-19-2016
Todd James IverstineMILLENNIAL HELPSagePoint Financial, Inc.05-02-2016
Lolla Ruth LongBBVA Securities Inc.SagePoint Financial, Inc.04-07-2016
Elise L OberdorfMML Investors Services, LLCSagePoint Financial, Inc.03-29-2016
Anthony Arguelles TriasCullen Financial AdvisorsSagePoint Financial, Inc.02-26-2016
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Showing 1 to 25 of 104 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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