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

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Adviser(s) Firm joining Firm leaving AUM ($M) Date
Eugene Joeseph Rooney Jr.Ameriprise Financial Services, Inc.Wells Fargo Clearing Services, LLC12-01-2018
Chiu Fong WuAmeriprise Financial Services, Inc.Wells Fargo Clearing Services, LLC$1,00011-30-2018
Derek David RosenbergAmeriprise Financial Services, Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$5011-30-2018
Douglas L LillyAmeriprise Financial Services, Inc.LPL Financial LLC$4911-30-2018
Eva ValentineAmeriprise Financial Services, Inc.Summit Brokerage Services, Inc.$1011-30-2018
Frank Mcnair Sims Jr.Ameriprise Financial Services, Inc.Stifel, Nicolaus & Company, Incorporated11-30-2018
Richard J. OrleckAmeriprise Financial Services, Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated11-30-2018
Travis R. DocykAmeriprise Financial Services, Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated11-30-2018
Gerald Howard Denney Jr.Ameriprise Financial Services, Inc.Private Advisor Group, LLC$15011-29-2018
Joseph Gronwald, Ryan Katahara, David NakamotoAmeriprise Financial Services, Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$18810-05-2018
Marcy Rose, Joseph SorannoAmeriprise Financial Services, Inc.Morgan Stanley$18507-07-2018
Sean Eugene RileyAmeriprise Financial Services, Inc.Wells Fargo Clearing Services, LLC$1,00011-28-2018
Carson StimpsonAmeriprise Financial Services, Inc.AXA Advisors, LLC11-27-2018
Janet Roxanne VolkersAmeriprise Financial Services, Inc.Investment Planners, Inc.$11411-26-2018
Sonya Teresa DotyAmeriprise Financial Services, Inc.Investment Planners, Inc.$5011-26-2018
Andrew Dustin NormanAmeriprise Financial Services, Inc.Voya Financial Advisors, Inc.$2511-26-2018
Frank Richard VolkersAmeriprise Financial Services, Inc.Investment Planners, Inc.11-26-2018
Kyle Richard VolkersAmeriprise Financial Services, Inc.Investment Planners, Inc.11-26-2018
Adam Tyler CostarellaAmeriprise Financial Services, Inc.Voya Financial Advisors, Inc.11-26-2018
Melvin Kkeith KruegerAmeriprise Financial Services, Inc.Investment Planners, Inc.11-26-2018
Edward Albert CarterAmeriprise Financial Services, Inc.Morgan Stanley$5711-23-2018
Jay Wayne GazzierAmeriprise Financial Services, Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$5011-23-2018
Reisha Lark FregoeAmeriprise Financial Services, Inc.Wells Fargo Clearing Services, LLC11-21-2018
Amanda Michele GibbAmeriprise Financial Services, Inc.RBC Capital Markets, LLC11-20-2018
Mark Andrew SuttonAmeriprise Financial Services, Inc.J.P. Morgan Securities LLC11-19-2018
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Showing 226 to 250 of 3,309 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 InvestmentNews.com and can not be resold, republished, redistributed, sublicensed, or copied for any other use without the permission of InvestmentNews LLC.

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