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
Paul Bernard CrouchCetera Financial Specialists LLCMML Investors Services, LLC$2506-21-2019
Michael Francis ConveyCetera Financial Specialists LLCEdward Jones05-09-2019
James Daniel BlandfordCetera Financial Specialists LLCBlandford Wealth Management, LLC01-04-2019
Paul Joseph SmithCetera Financial Specialists LLCForesters Equity Services, Inc.10-29-2018
Gina M. GucciardoCetera Financial Specialists LLCHD Vest Investment Services10-02-2018
Larry Gene ZucksworthCetera Financial Specialists LLCMML Investors Services, LLC07-27-2018
Chan Hyun LimCetera Financial Specialists LLCTD Ameritrade, Inc.07-16-2018
Han GuCetera Financial Specialists LLCNorthwestern Mutual Investment Services, LLC04-17-2018
Sheri Lin DesoniaCetera Financial Specialists LLCHD Vest Investment Services12-19-2017
Michael Willis FrankCetera Financial Specialists LLCSage Private Wealth Group, LLC$4009-18-2017
Robert Craig JilekCetera Financial Specialists LLCJ.W. Cole Advisors, Inc.$4808-17-2017
Joseph Thomas ParkerCetera Financial Specialists LLCInvestors Capital Corp.09-12-2016
Gene Joseph WittCetera Financial Specialists LLCUnited Planners' Financial Services of America A Limited Partner10-30-2015
Mark Robert PautschCetera Financial Specialists LLCThrivent Investment Management Inc.08-10-2015
Kathleen Margaret PeakeCetera Financial Specialists LLCSagePoint Financial, Inc.07-30-2014
Randall Gary MootsCetera Financial Specialists LLCHeim, Young & Associates, Inc.02-28-2014
Matthew James VanorderCetera Financial Specialists LLCHBW Securities LLC02-28-2014
Joel David JohnsonCetera Financial Specialists LLCHBW Securities LLC02-25-2014
James Lewis PriestCetera Financial Specialists LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated12-12-2013
Michael John MitalCetera Financial Specialists LLCNorthwestern Mutual Investment Services, LLC10-09-2013
Jeffrey Edward MitchelCetera Financial Specialists LLCTransamerica Financial Advisors, Inc06-19-2013
Eric James SiegeltuchCetera Financial Specialists LLCMetLife Securities Inc.$2503-01-2013
Michael Clayton NelsonCetera Financial Specialists LLCWells Fargo Clearing Services, LLC$5001-25-2013
Peter John O'BrienCetera Financial Specialists LLCWells Fargo Clearing Services, LLC$2501-25-2013
Tamara Suzanne MillerCetera Financial Specialists LLCLifetime Investment Management, L.L.C.12-18-2012
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Showing 1 to 25 of 50 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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