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
Braden Charles EllisAmeriprise Financial Services, Inc.ValMark Securities, Inc.$103-29-2019
Stephen Harry BaraschAmeriprise Financial Services, Inc.Cetera Financial Specialists LLC08-31-2018
Jeffrey Warren DobbelmannAmeriprise Financial Services, Inc.RBC Capital Markets, LLC$2508-24-2018
Angela Dawn O NeilinAmeriprise Financial Services, Inc.Independent Financial Partners08-15-2018
Christopher Leo CunninghamAmeriprise Financial Services, Inc.Cetera Advisor Networks LLC07-12-2018
Donna Marie GundersonAmeriprise Financial Services, Inc.Edward Jones$106-15-2018
Corey Robert WalenAmeriprise Financial Services, Inc.LPL Financial LLC05-24-2018
Mack Patrick Shaughnessy FarleyAmeriprise Financial Services, Inc.Northwestern Mutual Investment Services, LLC04-25-2018
Sam Louis ReberAmeriprise Financial Services, Inc.AXA Advisors, LLC02-28-2018
Patrick Joseph WalshAmeriprise Financial Services, Inc.Waddell & Reed$102-22-2018
Jorge CiprianAmeriprise Financial Services, Inc.Fidelity Investments Institutional Services Company, Inc.$1001-03-2018
Paul Joseph NotermannAmeriprise Financial Services, Inc.Morgan Stanley$10011-02-2017
Kristina Rae CummingsAmeriprise Financial Services, Inc.Creative Planning, Inc.10-30-2017
Wayne GuerrinoAmeriprise Financial Services, Inc.HD Vest Investment Services10-25-2017
Matthew Brian EdwardsAmeriprise Financial Services, Inc.Edward Jones09-26-2017
Shaun William ScottAmeriprise Financial Services, Inc.UBS Financial Services Inc.$109-07-2017
Jeffrey Charles StricklandAmeriprise Financial Services, Inc.Wells Fargo Clearing Services, LLC$5009-01-2017
Curtis John PetersonAmeriprise Financial Services, Inc.RBC Capital Markets, LLC08-30-2017
Cooper Hawke ShubertAmeriprise Financial Services, Inc.TD Ameritrade Investment Management, LLC07-28-2017
Theodore John HamlinAmeriprise Financial Services, Inc.RBC Capital Markets, LLC$5007-21-2017
Katie GiblinAmeriprise Financial Services, Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated06-30-2017
Carl T ButlerAmeriprise Financial Services, Inc.Wells Fargo Clearing Services, LLC06-19-2017
Robert Joseph ArnoldyAmeriprise Financial Services, Inc.J.P. Morgan Securities LLC$106-14-2017
Daniel Curtis Bakke Jr.Ameriprise Financial Services, Inc.Edward Jones03-24-2017
Nathan John OstertagAmeriprise Financial Services, Inc.TIAA-CREF Individual & Institutional Services, LLC03-15-2017
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Showing 1 to 25 of 180 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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