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
Alexander Mathew WeberCambridge Investment Research, Inc.Ameriprise Financial Services, Inc.06-12-2019
Steven Patrick D'AlessandroCambridge Investment Research, Inc.Nationwide Securities, LLC05-07-2019
Joyce Anora WardwellCambridge Investment Research, Inc.J.P. Morgan Securities LLC$104-22-2019
Todd Aaron SterlingCambridge Investment Research, Inc.Waddell & Reed$102-22-2019
Stephen John NiezgodaCambridge Investment Research, Inc.LPL Financial LLC$2511-16-2018
Edward John Maedel IICambridge Investment Research, Inc.Sigma Financial Corporation07-09-2018
Joshua Jon BeitelCambridge Investment Research, Inc.Cetera Investment Services LLC05-15-2018
Jeanne Suzanne GerstCambridge Investment Research, Inc.INVEST Financial Corporation$103-05-2018
Christopher P NickelCambridge Investment Research, Inc.SII Investments, Inc.$5012-01-2017
Larry Alan MengerinkCambridge Investment Research, Inc.SII Investments, Inc.12-01-2017
Thomas Edward KrautCambridge Investment Research, Inc.SII Investments, Inc.$111-17-2017
Jeffrey Curtis BrindleyCambridge Investment Research, Inc.Waddell & Reed10-23-2017
Anthony Guido LaroccaCambridge Investment Research, Inc.National Planning Corporation$2510-16-2017
James Michael TaegelCambridge Investment Research, Inc.National Planning Corporation10-16-2017
Kelly Lynn BoydCambridge Investment Research, Inc.National Planning Corporation10-05-2017
Scott Cameron RooneyCambridge Investment Research, Inc.National Planning Corporation10-05-2017
Brad Allen WoodsCambridge Investment Research, Inc.CUNA Brokerage Services, Inc.$5009-27-2017
Brian Paul SpitzleyCambridge Investment Research, Inc.NYLIFE Securities LLC$1309-01-2017
Alexander Seiji PotterCambridge Investment Research, Inc.MML Investors Services, LLC08-08-2017
William Joseph DoluntCambridge Investment Research, Inc.VALIC Financial Advisors, Inc.$5008-04-2017
Matthew J. ListonCambridge Investment Research, Inc.Edward Jones07-11-2017
Arthur Martinez MojaresCambridge Investment Research, Inc.Sigma Financial Corporation$1006-30-2017
Mark Wallace SmithCambridge Investment Research, Inc.Regulus Advisors, LLC06-01-2017
Brian Scott DudaCambridge Investment Research, Inc.MML Investors Services, LLC$5005-09-2017
David B GrafCambridge Investment Research, Inc.MML Investors Services, LLC$1505-08-2017
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Showing 1 to 25 of 102 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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