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
Luke PalmerCommonwealth Financial NetworkEdward Jones$2511-01-2019
Michael Gordon WendlandtCommonwealth Financial NetworkSecurities America, Inc.$15008-17-2018
Thomas Francis Kennedy IIICommonwealth Financial NetworkPrudential Investment Management Services LLC04-02-2018
Jennifer Lucille CooperCommonwealth Financial NetworkPurshe Kaplan Sterling Investments$1006-20-2017
Kevin Michael Curley IICommonwealth Financial NetworkUBS Financial Services Inc.05-17-2017
Robert James Messett Jr.Commonwealth Financial NetworkWFG Investments, Inc.02-15-2017
Oscar Omar LopezCommonwealth Financial NetworkWells Fargo Clearing Services, LLC$27111-04-2016
Kimberly Zan TillinghastCommonwealth Financial NetworkWFG Investments, Inc.$5011-04-2016
Ruben Lopez Jr.Commonwealth Financial NetworkWells Fargo Clearing Services, LLC11-04-2016
Duke Nhien TranCommonwealth Financial NetworkRBC Capital Markets, LLC08-25-2016
Jack Prather Brown Jr.Commonwealth Financial NetworkMaplewood Investment Advisors, Inc.$17408-15-2016
Peter Edward RuthCommonwealth Financial NetworkMaplewood Investment Advisors, Inc.08-15-2016
Nicholas William ThomasCommonwealth Financial NetworkRaymond James Financial Services, Inc.02-19-2016
Stephen Barnett ShipleyCommonwealth Financial NetworkProspera Financial Services, Inc.$9901-14-2016
John William Rubottom Jr.Commonwealth Financial NetworkProspera Financial Services, Inc.01-14-2016
Christian Trygve-Lee StoutCommonwealth Financial NetworkUBS Financial Services Inc.$7509-16-2015
Christopher Baxter JonesCommonwealth Financial NetworkStephens09-03-2015
Christy J. SheltonCommonwealth Financial NetworkRaymond James & Associates, Inc.06-20-2014
Toby Scott HarrisCommonwealth Financial NetworkFirst Allied Securities, Inc.04-08-2014
Laura Katherine WilliamsCommonwealth Financial NetworkFirst Allied Securities, Inc.03-17-2014
Roger ConnellCommonwealth Financial NetworkWells Fargo Advisors$5903-07-2014
Derrick Jerome CallisCommonwealth Financial NetworkVALIC Financial Advisors, Inc.10-08-2013
Quentin Bradley WhiteCommonwealth Financial NetworkParkland Securities, LLC06-21-2012
Scott Alden PortlockCommonwealth Financial NetworkMacro Consulting Group01-23-2012
David Fairfield Pratt GuyettCommonwealth Financial NetworkSigma Financial Corporation01-03-2012
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Showing 1 to 25 of 31 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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