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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Adviser(s) Firm joining Firm leaving AUM ($M) Date
Adam Anthony VegaGirard Securities, Inc.Signator Investors, Inc.01-10-2014
Adam Ross KlickFisher InvestmentsSignator Investors, Inc.01-09-2018
Barry Neil LevineLPL Financial LLCSignator Investors, Inc.06-25-2018
Bradley S ShammasClient One Securities LLCSignator Investors, Inc.11-17-2016
Claire Louise Van NiekerkenTransamerica Financial Advisors, IncSignator Investors, Inc.$5002-26-2013
David Andrew RoggenkampCommonwealth Financial NetworkSignator Investors, Inc.05-15-2017
David Justin AskewMercer Global Advisors Inc.Signator Investors, Inc.01-19-2016
Frank Leung ChoyInvestment Architects, Inc.Signator Investors, Inc.02-27-2017
Geoffrey Luke BatesBates Wealth Management, LLCSignator Investors, Inc.09-28-2016
Gregory Linn KaltenbachMML Investors Services, LLCSignator Investors, Inc.$2511-28-2014
J Larry Lawrence WoodUnited Planners' Financial Services of America A Limited PartnerSignator Investors, Inc.01-26-2017
Jeff Kyun HanCharles Schwab & Co., Inc.Signator Investors, Inc.03-06-2015
Jennifer Lee EmblerAmeriprise Financial Services, LLCSignator Investors, Inc.06-19-2018
Jeremy Hugo BakerAvantax Investment Services, Inc.Signator Investors, Inc.08-02-2017
Joseph Dewar McGoldrickPlanMember Securities CorporationSignator Investors, Inc.08-05-2016
June Menguita FalalesPruco Securities, LLC.Signator Investors, Inc.04-13-2016
K Evan KennedySEIASignator Investors, Inc.10-25-2018
Katerina HencovaLincoln Financial Advisors CorporationSignator Investors, Inc.04-03-2017
Lanny Ray HowarterCrown Capital Securities, L.P.Signator Investors, Inc.03-02-2009
Leslie J PettinelliMML Investors Services, LLCSignator Investors, Inc.09-04-2018
Mark PappasLPL Financial LLCSignator Investors, Inc.06-25-2018
Mary Jane SchroederMML Investors Services, LLCSignator Investors, Inc.04-06-2011
Maurice Anthony GelfoKestra Investment Services, LLCSignator Investors, Inc.$50001-25-2011
Melanie Lee ScullinCentaurus Financial, Inc.Signator Investors, Inc.09-13-2018
Merrick Minh NguyenWells Fargo Clearing Services, LLCSignator Investors, Inc.$1,00007-02-2012
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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 InvestmentNews.com and can not be resold, republished, redistributed, sublicensed, or copied for any other use without the permission of InvestmentNews LLC.