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
Michael Joseph TestoniAmeriprise Financial Services, Inc.Cambridge Investment Research, Inc.10-31-2017
Robert Lee HuntAmeriprise Financial Services, Inc.SunTrust Investment Services, Inc.$20011-03-2017
Lewis Edward WollenweberAmeriprise Financial Services, Inc.Wells Fargo Clearing Services, LLC$5011-03-2017
Jose Gabriel Lopez, Misael LugoAmeriprise Financial Services, Inc.Raymond James$12411-10-2017
Jose Gabriel LopezAmeriprise Financial Services, Inc.Raymond James & Associates, Inc.$10011-10-2017
Misael Ramon Lugo IIIAmeriprise Financial Services, Inc.Raymond James & Associates, Inc.11-10-2017
Pam Mcgarity DoughtyAmeriprise Financial Services, Inc.SII Investments, Inc.$2,00011-17-2017
Robert Henry Davis Jr.Ameriprise Financial Services, Inc.UBS Financial Services Inc.$15011-22-2017
Michael Taylor HensonAmeriprise Financial Services, Inc.Wells Fargo Clearing Services, LLC12-01-2017
Mark Ernest LaflammeAmeriprise Financial Services, Inc.Girard Securities, Inc.12-07-2017
David AdamsAmeriprise Financial Services, Inc.SagePoint Financial$8601-03-2018
David Norman AdamsAmeriprise Financial Services, Inc.SagePoint Financial, Inc.$4401-03-2018
Kristopher Raworth WallAmeriprise Financial Services, Inc.Stifel, Nicolaus & Company, Incorporated01-12-2018
Jorge Louis TorrensAmeriprise Financial Services, Inc.Wells Fargo Clearing Services, LLC$5001-25-2018
Marc Leonard BreuerAmeriprise Financial Services, Inc.Benjamin F. Edwards & Company, Inc.$25002-01-2018
Edmond John PhillipsAmeriprise Financial Services, Inc.Raymond James Financial Services, Inc.$5002-28-2018
Christine Ellen WiederholdAmeriprise Financial Services, Inc.Raymond James Financial Services, Inc.02-28-2018
Regina Ruth Onkst, Jim OnkstAmeriprise Financial Services, Inc.UBS Financial Services Inc. Inc.$11303-09-2018
Carlos A AmarisAmeriprise Financial Services, Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$5004-20-2018
David Christopher WhaleyAmeriprise Financial Services, Inc.Wells Fargo Clearing Services, LLC$5005-04-2018
Joseph Howard Kennedy Jr.Ameriprise Financial Services, Inc.Wells Fargo Clearing Services, LLC$2505-04-2018
Jane Ballard FontaineAmeriprise Financial Services, Inc.AXA Advisors, LLC$5006-21-2018
Patrick Ross MaddenAmeriprise Financial Services, Inc.INVESTMENT PROFESSIONALS, INC.$15006-22-2018
Sean D. FentonAmeriprise Financial Services, Inc.Hennion & Walsh, Inc.$10007-16-2018
Vincent Michael MageeAmeriprise Financial Services, Inc.Morgan Stanley$2507-27-2018
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Showing 251 to 275 of 316 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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