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
Brian David SmithLPL Financial LLCSecurities America, Inc.$25007-08-2019
Jerald Lewis ButtsLPL Financial LLCSecurities America, Inc.07-08-2019
Jonathan FreedAmeritas Investment Corp.Securities America, Inc.07-01-2019
Wayne Edward BernardoColorado Financial Service CorporationSecurities America, Inc.06-28-2019
Joseph Benjamin StrikeAmeriprise Financial Services, Inc.Securities America, Inc.$5006-19-2019
Patricia Mary LorisLPL Financial LLCSecurities America, Inc.$5005-31-2019
James Michael DavidsLPL Financial LLCSecurities America, Inc.05-31-2019
Andrew Douglass CarmanLPL Financial LLCSecurities America, Inc.05-31-2019
Ronald Brian SnyderCadaret, Grant & Co., Inc.Securities America, Inc.$5004-10-2019
Roger K RiehmGWN Securities Inc.Securities America, Inc.04-10-2019
Levi Glenn CassAmeritas Investment Corp.Securities America, Inc.03-27-2019
Felix Milton JonesCambridge Investment Research, Inc.Securities America, Inc.03-21-2019
Gloria Nydam GoodeCambridge Investment Research, Inc.Securities America, Inc.$5003-18-2019
Tamber King ProctorProctor Investments LLCSecurities America, Inc.02-21-2019
Paul Lawrence NewtonCentaurus Financial, Inc.Securities America, Inc.$15002-05-2019
Joshua Thomas FoxFounders Financial Securities LLCSecurities America, Inc.02-04-2019
James Robert Caldwell Jr.Berthel, Fisher & Company Financial Services, Inc.Securities America, Inc.02-04-2019
Troy Michael HeftaLPL Financial LLCSecurities America, Inc.$2501-31-2019
Joseph William PezickCentaurus Financial, Inc.Securities America, Inc.01-29-2019
Mark John EnglundIndependent Financial Group, LLCSecurities America, Inc.01-11-2019
Joanne RogersLPL Financial LLCSecurities America, Inc.$5001-08-2019
Douglas Kent ZimaCambridge Investment Research, Inc.Securities America, Inc.01-02-2019
Matthew Paul CourRegulus Advisors, LLCSecurities America, Inc.12-04-2018
Robert Emmett Faesy Jr.Fortune Financial Services, Inc.Securities America, Inc.11-30-2018
Joseph Wayne MaierRaymond James Financial Services, Inc.Securities America, Inc.$25011-05-2018
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Showing 1 to 25 of 545 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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