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
Rice E. BrownCambridge Investment Research, Inc.Fortune Financial Services, Inc.$5009-16-2019
Berrie Beth CobleCambridge Investment Research, Inc.FTB Advisors, Inc.$15009-16-2019
Robert Michael Cragle Jr.Cambridge Investment Research, Inc.Royal Alliance Associates, Inc.09-16-2019
Bradley Alan SwisherCambridge Investment Research, Inc.Royal Alliance Associates, Inc.09-16-2019
Saul Frank FeingoldCambridge Investment Research, Inc.FSC Securities Corporation$2509-03-2019
David Mark DimensteinCambridge Investment Research, Inc.FSC Securities Corporation09-03-2019
Jed Reid BrandesCambridge Investment Research, Inc.FSC Securities Corporation09-03-2019
Richard Lane NoelCambridge Investment Research, Inc.Park Avenue Securities LLC08-27-2019
William Ralph MumpowerCambridge Investment Research, Inc.Park Avenue Securities LLC$5008-27-2019
Steven T. EwenCambridge Investment Research, Inc.Client One Securities, LLC08-26-2019
Steven T. EwenCambridge Investment Research, Inc.Client One Securities, LLC08-26-2019
James Martin FallonCambridge Investment Research, Inc.AMEV Investors, Inc.$10008-22-2019
Jim Alan YockeyCambridge Investment Research, Inc.Next Financial Group, Inc.$2508-20-2019
Jim Alan YockeyCambridge Investment Research, Inc.Next Financial Group, Inc.$2508-20-2019

Showing 1 to 14 of 14 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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