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 James JansonAXA Advisors, LLCMML Investors Services, LLC$8707-24-2017
Yury MenbaevAXA Advisors, LLCDavid Lerner Associates, Inc.08-15-2017
Michael Anthony EshomAXA Advisors, LLCLincoln Financial Securities Corporation08-31-2017
David Dai PingAXA Advisors, LLCNorthwestern Mutual Investment Services, LLC09-06-2017
Shelby Lynn CorbaleyAXA Advisors, LLCNorthwestern Mutual Investment Services, LLC09-08-2017
Michael North KruegerAXA Advisors, LLCBrighthouse Securities, LLC09-20-2017
Frank J. Ward Jr.AXA Advisors, LLCTransamerica Financial Advisors, Inc09-21-2017
Rafael Eduardo LopezAXA Advisors, LLCNYLIFE Securities LLC09-22-2017
John Richard Bentubo Jr.AXA Advisors, LLCMML Investors Services, LLC09-27-2017
Daniel Anthony BragaAXA Advisors, LLCLPL Financial LLC09-28-2017
Paul P. PongniphonAXA Advisors, LLCMML Investors Services, LLC09-29-2017
Philip M. UnderwoodAXA Advisors, LLCNorthwestern Mutual Investment Services, LLC10-12-2017
Michael Albert MuzikarAXA Advisors, LLCINVEST Financial Corporation11-14-2017
Joseph Marriner NielsonAXA Advisors, LLCMML Investors Services, LLC11-16-2017
William James BrennerAXA Advisors, LLCEdward Jones11-20-2017
Rebecca Lynn ClauerAXA Advisors, LLCNorthwestern Mutual Investment Services, LLC11-22-2017
Gregory KimackAXA Advisors, LLCFarmers Financial Solutions, LLC11-22-2017
Mark Steven WaterhouseAXA Advisors, LLCShepherd Financial Partners, LLC12-12-2017
Russell Joseph ColosiAXA Advisors, LLCMML Investors Services, LLC12-12-2017
James Oconnor ScottAXA Advisors, LLCNYLIFE Securities LLC12-12-2017
Deborah Jean DodsonAXA Advisors, LLCPruco Securities, LLC.01-29-2018
Richard Bryan YustAXA Advisors, LLCMML Investors Services, LLC$2502-02-2018
Eric Franz JamesAXA Advisors, LLCPNC Investments$2502-13-2018
Ryan Michael HammerAXA Advisors, LLCTD Ameritrade, Inc.02-22-2018
Anthony T. KlingseisenAXA Advisors, LLCQuestar Capital Corporation$5002-26-2018
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Showing 251 to 275 of 345 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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