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
Richard Lee BoppH. Beck, Inc.Waddell & Reed$1001-02-2009
John Michael TiddyMecklenburg Financial GroupWaddell & Reed01-22-2009
Christopher Vuthi PramawatAmeriprise Financial Services, Inc.Waddell & Reed02-09-2009
Steven Farrell WisnewskiCape Securities Inc.Waddell & Reed03-09-2009
Jeremy Guy Charles KellerUBS Financial Services Inc.Waddell & Reed07-11-2009
Elizabeth Grace WhiteMerrill Lynch, Pierce, Fenner & Smith IncorporatedWaddell & Reed07-27-2009
Mark Alan RichardsEdward JonesWaddell & Reed09-04-2009
Justin Arthur VartanianAmeriprise Financial Services, Inc.Waddell & Reed09-16-2009
Ronald Wilde PauleEdward JonesWaddell & Reed10-12-2009
Felipe Gutierrez AlvarezFarmers Financial Solutions, LLCWaddell & Reed10-13-2009
Jason Paul CodreaLPL Financial LLCWaddell & Reed12-11-2009
John Randall SowardAmeriprise Financial Services, Inc.Waddell & Reed12-21-2009
Olin G. ClotiauxEdward JonesWaddell & Reed01-04-2010
Gregory Scott DupontDupont Wealth Solutions, LLCWaddell & Reed01-05-2010
David Louis CompasNYLIFE Securities LLCWaddell & Reed$1001-20-2010
Janice Patrice HeinzVALIC Financial Advisors, Inc.Waddell & Reed01-21-2010
Timothy Lynn DukesDukes Financial Group, LLCWaddell & Reed01-27-2010
Charles Joseph WinningerRoyal Alliance Associates, Inc.Waddell & Reed$1001-29-2010
Gregg W. DawsonKMS Financial Services, Inc.Waddell & Reed02-01-2010
Anita Louise SmithLPL Financial LLCWaddell & Reed02-05-2010
Matthew Malcolm BanksAllstate Financial Services, LLCWaddell & Reed$1004-05-2010
Chad Karl CrowderC.K.C Financial Services, PLLC.Waddell & Reed04-21-2010
Scott Wade SummerlinPrincipal Securities, Inc.Waddell & Reed04-21-2010
Chad Michael RotherMorgan StanleyWaddell & Reed$1004-26-2010
Burton D. WescheMorgan StanleyWaddell & Reed05-06-2010
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Showing 1 to 25 of 671 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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