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.

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Latest moves


Adviser(s) Firm joining Firm leaving AUM ($M) Date
Dawn Marie BakerCambridge Investment Research, Inc.GunnAllen Financial, Inc$1001-25-2010
Kevin Eric BakerCambridge Investment Research, Inc.Infinex Investments, Inc.07-14-2011
Matthew Steve KocsisCambridge Investment Research, Inc.VALIC Financial Advisors, Inc.08-23-2011
Charles Wayne Matthews Sr.Cambridge Investment Research, Inc.Tower Square Securities, Inc.09-01-2011
Brenda Smith SchwabCambridge Investment Research, Inc.New England Securities11-08-2011
Martha Louise CattCambridge Investment Research, Inc.VALIC Financial Advisors, Inc.01-03-2012
Thomas Roger ThalmanCambridge Investment Research, Inc.Lincoln Financial Advisors Corporation$1002-10-2012
Dominique Godfroy Henri VercaemertCambridge Investment Research, Inc.Onyx Wealth Advisors, Inc.08-20-2012
Andrew Jackson Wood Jr.Cambridge Investment Research, Inc.Capital Guardian, LLC$5002-01-2013
O'Neal McCall Jr.Cambridge Investment Research, Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated03-01-2013
Todd Matthew BaileyCambridge Investment Research, Inc.Northwestern Mutual Investment Services, LLC06-04-2013
Terry William TreiberCambridge Investment Research, Inc.Morgan Stanley$5007-24-2013
Reginald Brent DeesCambridge Investment Research, Inc.Geneos Wealth Management, Inc.08-02-2013
Robert Alfred BrocklandCambridge Investment Research, Inc.The O.N. Equity Sales Company09-05-2013
Nidia M. FloresCambridge Investment Research, Inc.AXA Advisors, LLC11-04-2013
Dennis Wayne MumfordCambridge Investment Research, Inc.MetLife Securities Inc.$5001-31-2014
Christopher B. KemperCambridge Investment Research, Inc.Lincoln Financial Advisors Corporation02-07-2014
Jodi L. McMahonCambridge Investment Research, Inc.New England Securities$5003-03-2014
Jerry Bradford Grimes Jr.Cambridge Investment Research, Inc.The Investment Center, Inc.$5006-30-2014
Bruce Davis HenningCambridge Investment Research, Inc.Voya Financial Advisors, Inc.07-31-2014
Sanjay ShahCambridge Investment Research, Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated10-02-2014
James Richard CulbersonCambridge Investment Research, Inc.LPL Financial LLC10-03-2014
William Austin Smith IIICambridge Investment Research, Inc.National Planning Corporation11-20-2014
Gloria Arsonia PottsCambridge Investment Research, Inc.American Portfolios Financial Services, Inc.$2501-02-2015
Brent Henderson ParksCambridge Investment Research, Inc.Parkland Securities, LLC02-03-2015
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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.