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
Sean William McCauleyAmeriprise Financial Services, Inc.USAA Financial Advisors, Inc.04-27-2016
Keith Wayne NugentAmeriprise Financial Services, Inc.USAA Financial Advisors, Inc.$1009-09-2009
Mark Carlton KoellnerEdward JonesUSAA Financial Advisors, Inc.$1811-03-2017
Jose Miguel MartinezEdward JonesUSAA Financial Advisors, Inc.08-18-2017
Bradley Allen PyleEdward JonesUSAA Financial Advisors, Inc.06-23-2017
Christopher Bryan BarlowEdward JonesUSAA Financial Advisors, Inc.05-27-2016
Carlos Nunez Jr.Farmers Financial Solutions, LLCUSAA Financial Advisors, Inc.05-05-2011
Gary Preston CoatsGuideStone Financial ServicesUSAA Financial Advisors, Inc.07-29-2013
Jonathan William LennoxIndependent Financial Group, LLCUSAA Financial Advisors, Inc.06-08-2017
Derick Lee KannIndex Fund Advisors, Inc.USAA Financial Advisors, Inc.02-18-2016
Shifali K. ShettyJ.P. Morgan Securities LLCUSAA Financial Advisors, Inc.07-25-2016
Jon Thomas ThompsonLPL Financial LLCUSAA Financial Advisors, Inc.$20010-25-2016
Michael Scott DubenskyLPL Financial LLCUSAA Financial Advisors, Inc.10-24-2016
Earnest Richard SmithLPL Financial LLCUSAA Financial Advisors, Inc.$5509-16-2016
Jason Paul DuffautLPL Financial LLCUSAA Financial Advisors, Inc.09-15-2016
Jereme Dewayne BriscoLPL Financial LLCUSAA Financial Advisors, Inc.$50007-18-2016
Spencer Thomas SlighLPL Financial LLCUSAA Financial Advisors, Inc.$10006-01-2015
Ruth Lorraine ForehandLPL Financial LLCUSAA Financial Advisors, Inc.$5008-24-2009
Jacob Lee FlachMerrill Lynch, Pierce, Fenner & Smith IncorporatedUSAA Financial Advisors, Inc.07-28-2017
Timothy Brian MazzantiMerrill Lynch, Pierce, Fenner & Smith IncorporatedUSAA Financial Advisors, Inc.02-28-2017
Robert Anthony CortezMerrill Lynch, Pierce, Fenner & Smith IncorporatedUSAA Financial Advisors, Inc.$1001-26-2016
Gregory James PaslerMerrill Lynch, Pierce, Fenner & Smith IncorporatedUSAA Financial Advisors, Inc.$1012-08-2015
Dineen HughesOppenheimer & Co. Inc.USAA Financial Advisors, Inc.09-01-2016
David Lloyd CassoOppenheimer & Co. Inc.USAA Financial Advisors, Inc.$10008-05-2016
Michael B. SchoffmanRetirement Planners of AmericaUSAA Financial Advisors, Inc.11-04-2016
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Showing 1 to 25 of 30 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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