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
Adam DavidsonAmeriprise Financial Services, Inc.Avantax Investment Services, Inc.05-22-2015
Andrew Peter LaneAmeriprise Financial Services, Inc.Avantax Investment Services, Inc.$10012-04-2015
Anthony M. ZanettiAmeriprise Financial Services, Inc.Eaton Vance Distributors, Inc.03-27-2019
Brendan John BeaulieuAmeriprise Financial Services, Inc.Signator Investors, Inc.02-22-2019
Brian J. CaldwellAmeriprise Financial Services, Inc.Banc of America Investment Services, Inc.$10003-23-2009
Christopher Bradley AyerAmeriprise Financial Services, Inc.UBS Financial Services Inc.$25001-08-2016
Craig Anthony GuintaAmeriprise Financial Services, Inc.Waddell & Reed$25012-22-2016
Craig Dennis JohnsonAmeriprise Financial Services, Inc.LPL Financial LLC11-17-2010
Daniel Ernest GolandAmeriprise Financial Services, Inc.Banc of America Investment Services, Inc.03-27-2009
Eric Joseph FlaimAmeriprise Financial Services, Inc.Banc of America Investment Services, Inc.$25004-17-2009
Gary Stephen DionneAmeriprise Financial Services, Inc.MML Investors Services, LLC$25006-29-2017
Graeme William LambAmeriprise Financial Services, Inc.Banc of America Investment Services, Inc.$25003-27-2009
Heather Anne BrountasAmeriprise Financial Services, Inc.AXA Advisors, LLC$25002-06-2017
James E. KneeAmeriprise Financial Services, Inc.Voya Financial Advisors$5511-18-2015
James Edward KneeAmeriprise Financial Services, Inc.Investors Capital Corp.$50008-31-2012
James Leland PutnamAmeriprise Financial Services, Inc.UBS Financial Services Inc.$10001-14-2009
James LivolsiAmeriprise Financial Services, Inc.Lincoln Financial Securities Corporation08-28-2013
Jdaniel Daniel DavidsonAmeriprise Financial Services, Inc.Avantax Investment Services, Inc.$50005-22-2015
Joseph George O'KeefeAmeriprise Financial Services, Inc.Morgan Stanley$50002-17-2012
Joshua Lee WinklerAmeriprise Financial Services, Inc.TD Wealth Management Services Inc.$10003-01-2010
Joshua Ryan ChabotAmeriprise Financial Services, Inc.Edward Jones$10012-11-2015
Karen Ann PerryAmeriprise Financial Services, Inc.Morgan Stanley$50001-14-2011
Kathleen M. Thomas, Tammy Symons, Jayne Veilleux, Stephen Coopersmith, Lisa Morgan, Elizabeth Hellard, Jeanne CaitoAmeriprise Financial Services, Inc.Raymond James$15002-01-2016
Keith Eric GeblerAmeriprise Financial Services, Inc.First Financial Equity Corporation07-18-2019
Kendra Elaine KearneyAmeriprise Financial Services, Inc.RBC Capital Markets, LLC08-08-2012
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Showing 1 to 25 of 55 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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