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
Michael G Ferrera Jr.Independent Financial Group, LLCSagePoint Financial, Inc.$5004-09-2020
Kathryn Marie CarterLPL Financial LLCSagePoint Financial, Inc.$5001-31-2020
Alan H. BermanLPL Financial LLCSagePoint Financial, Inc.$1001-02-2020
Michael Lee SiscoLPL Financial LLCSagePoint Financial, Inc.$5001-02-2020
Anthony Peter RicciLPL Financial LLCSagePoint Financial, Inc.12-13-2019
Dean Mamoru KumagawaLPL Financial LLCSagePoint Financial, Inc.12-13-2019
Kenneth Allen MasonLPL Financial LLCSagePoint Financial, Inc.12-13-2019
Royce Allen StewartLPL Financial LLCSagePoint Financial, Inc.$2512-13-2019
Irwin Noah LowiLPL Financial LLCSagePoint Financial, Inc.12-13-2019
Marcia Hope GoldbergLPL Financial LLCSagePoint Financial, Inc.12-13-2019
Dung Ngoc HuynhLPL Financial LLCSagePoint Financial, Inc.12-13-2019
David Robert KlenskeLPL Financial LLCSagePoint Financial, Inc.12-11-2019
Allison Tunnicliff FergusonPruco Securities, LLC.SagePoint Financial, Inc.$1011-26-2019
Patrick Joseph Gilmore Jr.LPL Financial LLCSagePoint Financial, Inc.11-07-2019
Robert A. Jenkins IIIPrincipal Securities, Inc.SagePoint Financial, Inc.10-15-2019
Michael SenglaubIndependent Financial Group, LLCSagePoint Financial, Inc.08-12-2019
James Allen SummersLPL Financial LLCSagePoint Financial, Inc.$2507-23-2019
Josiah David BallCambridge Investment Research, Inc.SagePoint Financial, Inc.02-01-2019
Susannah Elizabeth HarrisonPlanMember Securities CorporationSagePoint Financial, Inc.01-30-2019
Santiago HuertaLPL Financial LLCSagePoint Financial, Inc.12-11-2018
Joanne Hong TranMerrill Lynch, Pierce, Fenner & Smith IncorporatedSagePoint Financial, Inc.10-15-2018
Jacob Eugene DalySagePoint Financial, Inc.SagePoint Financial, Inc.06-20-2018
Mitchell Douglas BellJ.P. Morgan Securities LLCSagePoint Financial, Inc.06-14-2018
George Benjamin Joseph Scott Jr.Belpointe Asset Management LLCSagePoint Financial, Inc.05-16-2018
Katherine Margaret SalterIndependent Financial Group, LLCSagePoint Financial, Inc.$5004-09-2018
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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.