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
Kevin Michael RossAXA Advisors, LLCLPL Financial LLC11-02-2015
Christine Jennifer ProntockAXA Advisors, LLCRBC Capital Markets, LLC$5011-24-2015
Edgar A. KleydmanAXA Advisors, LLCJ.P. Morgan Securities LLC12-02-2015
Jonathan I. YokoyamaAXA Advisors, LLCWells Fargo Clearing Services, LLC12-09-2015
Mary Elizabeth O'MalleyAXA Advisors, LLCCetera Advisors LLC12-09-2015
Kyle A HeranAXA Advisors, LLCPurshe Kaplan Sterling Investments12-14-2015
Brian P. MorrisAXA Advisors, LLCOppenheimerFunds Distributor, Inc.01-12-2016
Seong M. YooAXA Advisors, LLCPruco Securities, LLC.01-14-2016
Jonathan Martin Jacob GratzAXA Advisors, LLCEdward Jones02-26-2016
Mariano Farid LlosaAXA Advisors, LLCSouthern Trust Securities, Inc.03-15-2016
Charles R DoughtyAXA Advisors, LLCKey Investment Services LLC03-17-2016
Ravi Atreya TarekereAXA Advisors, LLCPFS Investments Inc.03-31-2016
David C. BarthAXA Advisors, LLCRehmann Financial$4504-05-2016
Joseph Cox GranzierAXA Advisors, LLCRehmann Financial04-05-2016
Michael Eugene RaggAXA Advisors, LLCPaladin Wealth Management Inc.04-14-2016
Kelli Ann SheikAXA Advisors, LLCCetera Investment Services LLC04-27-2016
Brett M. RosenblattAXA Advisors, LLCChimera Securities, LLC04-28-2016
Daniel Leo BeckAXA Advisors, LLCBeck Investment Partners, LLC05-10-2016
Alex David RosenAXA Advisors, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated05-13-2016
Jason Ryan BennettAXA Advisors, LLCDeutsche Bank Securities Inc.05-19-2016
Zachary Bert CampbellAXA Advisors, LLCCharles Schwab & Co., Inc.05-25-2016
Stephen Edward TucciAXA Advisors, LLCWaddell & Reed05-25-2016
Chris John OcchipintiAXA Advisors, LLCNational Securities Corporation06-02-2016
Lori A McCordAXA Advisors, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated06-10-2016
Michelle Christine GattisAXA Advisors, LLCCetera Advisor Networks LLC07-07-2016
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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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