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
Josette Rose KlingerAXA Advisors, LLCSignator Investors, Inc.02-13-2009
Gregory AshekianAXA Advisors, LLCSignator Investors, Inc.02-20-2009
Kevin Daniel BrettellAXA Advisors, LLCNorthwestern Mutual Investment Services, LLC03-20-2009
David Anthony PerfettAXA Advisors, LLCHD Vest Investment Services10-28-2011
Beth Wendy KaufmanAXA Advisors, LLCPFS Investments Inc.03-15-2012
Shawn A. BerwagerAXA Advisors, LLCWells Fargo Advisors Financial Network, LLC12-04-2012
Kyle Joseph LucasAXA Advisors, LLCNew England Securities04-17-2014
Michael Justin WolfeAXA Advisors, LLCVoya Financial Advisors, Inc.11-05-2014
Kevin Michael RossAXA Advisors, LLCLPL Financial LLC11-02-2015
Christine Jennifer ProntockAXA Advisors, LLCRBC Capital Markets, LLC$5011-24-2015
Kelli Ann SheikAXA Advisors, LLCCetera Investment Services LLC04-27-2016
David Fleisher IIAXA Advisors, LLCMetLife Securities Inc.$15007-22-2016
Eric MarkowitzAXA Advisors, LLCMetLife Securities Inc.$2507-22-2016
Robert M GainesAXA Advisors, LLCMetLife Securities Inc.$1007-22-2016
Carlos John GuevaraAXA Advisors, LLCMetLife Securities Inc.07-22-2016
Brian Patrick WellsAXA Advisors, LLCMetLife Securities Inc.07-22-2016
Jerel Keith RuttenbergAXA Advisors, LLCMetLife Securities Inc.07-22-2016
Holly Ann ThomasAXA Advisors, LLCMetLife Securities Inc.07-22-2016
Ann Margaret MulderigAXA Advisors, LLCMetLife Securities Inc.07-22-2016
Shaun David O'ConnorAXA Advisors, LLCMetLife Securities Inc.07-22-2016
Brian Cooper SmithAXA Advisors, LLCMetLife Securities Inc.07-22-2016
Denise Louann CapocciAXA Advisors, LLCMetLife Securities Inc.07-22-2016
Nancy Lynn BernhardtAXA Advisors, LLCMetLife Securities Inc.07-22-2016
Paul Allen MarkowichAXA Advisors, LLCMetLife Securities Inc.07-22-2016
Christopher O. KwonAXA Advisors, LLCMetLife Securities Inc.07-22-2016
Next Page »

Showing 1 to 25 of 41 entries

Page 1 | 2

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.


Hi! Glad you're here and we hope you like all the great work we do here at InvestmentNews. But what we do is expensive and is funded in part by our sponsors. So won't you show our sponsors a little love by whitelisting It'll help us continue to serve you.

Yes, show me how to whitelist

Ad blocker detected. Please whitelist us or give premium a try.