Advisers on the Move TEST

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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Latest moves


Adviser(s) Firm joining Firm leaving AUM ($M) Date
James Busey NicholsAmeriprise Financial Services, LLCWells Fargo Clearing Services, LLC$5012-02-2016
Kathryn Lafferty WelchAmeriprise Financial Services, LLCWells Fargo Clearing Services, LLC11-17-2015
Mark Anthony MillerAmeriprise Financial Services, LLCWells Fargo Clearing Services, LLC$1001-02-2015
Douglas Brant SteadAmeriprise Financial Services, LLCWells Fargo Clearing Services, LLC$2503-15-2013
Charles Louis LaubachAmeriprise Financial Services, LLCWells Fargo Clearing Services, LLC09-19-2012
Kirby Clifford SmithAmeriprise Financial Services, LLCWells Fargo Clearing Services, LLC$2510-05-2011
Lee WeithAXA AdvisorsWells Fargo Clearing Services, LLC01-29-2020
Alexander Eugene PolitschAXA Advisors, LLCWells Fargo Clearing Services, LLC10-24-2014
Philip Michael DancerBB&T Investment Services, Inc.Wells Fargo Clearing Services, LLC08-26-2015
Michael Bernard SledzikBB&T Securities, LLCWells Fargo Clearing Services, LLC$5005-27-2014
Charles Brooks DeiBB&T Securities, LLCWells Fargo Clearing Services, LLC$5005-12-2014
Beth K VenitBurt Wealth AdvisorsWells Fargo Clearing Services, LLC$20009-21-2015
Katarina SteinCapital One Investment Services LLCWells Fargo Clearing Services, LLC04-21-2014
Mirko Alvaro PefaureCapital One Investment Services LLCWells Fargo Clearing Services, LLC12-10-2013
Patrick Joseph MoriartyCetera Advisor Networks LLCWells Fargo Clearing Services, LLC01-08-2016
Andrew Louis KadalaCetera Advisors LLCWells Fargo Clearing Services, LLC$4809-27-2017
Charles Wayne Coffey Jr.Cetera Investment Services LLCWells Fargo Clearing Services, LLC06-14-2018
Katie L. HughesChapin, DavisWells Fargo Clearing Services, LLC$5009-13-2017
Charles Timothy HurttChapin, DavisWells Fargo Clearing Services, LLC$10005-24-2012
Kevin John JedlickaChapin, DavisWells Fargo Clearing Services, LLC$5010-19-2010
Mark Robert SwensenChapin, DavisWells Fargo Clearing Services, LLC$5001-05-2010
Craig Bentley DiamondChapin, DavisWells Fargo Clearing Services, LLC$2505-29-2009
Francis Alexander FrischChapin, DavisWells Fargo Clearing Services, LLC05-29-2009
Sherman Malcolm Malcolm EthridgeCIC Wealth, LLCWells Fargo Clearing Services, LLC05-15-2019
Thomas Blakely ConwayConnemara Family Office Management, LLCWells Fargo Clearing Services, LLC07-15-2009
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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.