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
Joshua Matthew HoldenA.G.P / Alliance Global PartnersVanguard Marketing Corporation04-09-2013
Gary Carl GobbatoAllstate Financial Services, LLCVanguard Marketing Corporation04-22-2009
Andrew D TuellAXA Advisors, LLCVanguard Marketing Corporation$10004-22-2010
Ashley Elizabeth HamiltonBancWest Investment Services, Inc.Vanguard Marketing Corporation02-12-2019
ERNESTO IVAN RODRIGUEZBancWest Investment Services, Inc.Vanguard Marketing Corporation08-31-2018
Alexis Ann SorrentinoCetera Advisors LLCVanguard Marketing Corporation04-08-2019
Shane Eli KeithCommonwealth Financial NetworkVanguard Marketing Corporation07-10-2018
Carey S. McCradyCSM Financial PlanningVanguard Marketing Corporation01-01-2017
Clinton Collier FrehaferEdward JonesVanguard Marketing Corporation07-31-2018
Alexander Ray HartmanEdward JonesVanguard Marketing Corporation01-04-2017
Humberto Yee Flores Jr.Financial Engines Advisors L.L.C.Vanguard Marketing Corporation01-30-2019
Eric Jeffrey TanitaFinancial Engines Advisors L.L.C.Vanguard Marketing Corporation11-02-2017
Christopher Carl CaposeyFinancial Engines Advisors L.L.C.Vanguard Marketing Corporation04-19-2017
Luigi DeroseFinancial Engines Advisors L.L.C.Vanguard Marketing Corporation05-16-2016
William Grady McElroyFinancial Engines Advisors L.L.C.Vanguard Marketing Corporation05-13-2016
Lauren Elizabeth GodfreyFinancial Engines Advisors L.L.C.Vanguard Marketing Corporation03-22-2016
Christina Lee HurleyFinancial Engines Advisors L.L.C.Vanguard Marketing Corporation03-16-2016
David Kenneth MusserFinancial Engines Advisors L.L.C.Vanguard Marketing Corporation02-24-2016
Nicholas Anthony ParisiFinancial Engines Advisors L.L.C.Vanguard Marketing Corporation01-22-2016
David Michael EldridgeFinancial Engines Advisors L.L.C.Vanguard Marketing Corporation01-09-2016
Oscar Hernandez Jr.Financial Engines Advisors L.L.C.Vanguard Marketing Corporation12-04-2015
Robert Nooch FitzpatrickFinancial Engines Advisors L.L.C.Vanguard Marketing Corporation04-30-2014
David Eric ThompsonFinancial Engines Advisors L.L.C.Vanguard Marketing Corporation03-14-2014
Karlyn Deborah LyonsJ.P. Morgan Securities LLCVanguard Marketing Corporation02-01-2019
Jun Ha YoonJ.P. Morgan Securities LLCVanguard Marketing Corporation10-23-2018
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Showing 1 to 25 of 88 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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