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
Marc Evan ZellerFifth Third Securities, Inc.Foresters Financial Services, Inc.$5006-18-2009
Stephen Edward KriseFifth Third Securities, Inc.Foresters Financial Services, Inc.10-19-2009
Michael David SmithFifth Third Securities, Inc.Wells Fargo Clearing Services, LLC03-09-2012
Lisabeth Beth ThiessenFifth Third Securities, Inc.Wells Fargo Clearing Services, LLC03-19-2012
James Curtis BakerFifth Third Securities, Inc.Scott & Stringfellow, LLC07-26-2012
Jeff Joseph CashinFifth Third Securities, Inc.First Citizens Investor Services, Inc.02-08-2013
Lori Jeanne TaylorFifth Third Securities, Inc.SunTrust Investment Services, Inc.$2501-15-2015
Michael Steven AmesFifth Third Securities, Inc.SunTrust Investment Services, Inc.03-31-2015
Joseph Anthony LopardiFifth Third Securities, Inc.Wells Fargo Clearing Services, LLC$5005-07-2015
Travis J. HarrisFifth Third Securities, Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated06-23-2015
Frederick Perry TurnerFifth Third Securities, Inc.First Citizens Investor Services, Inc.10-13-2016
Rosalie Ann MarsocciFifth Third Securities, Inc.Allstate Financial Services, LLC02-07-2017
Ernest William Ross IIIFifth Third Securities, Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated03-23-2017
Katherine Carrowon BooneFifth Third Securities, Inc.Wells Fargo Clearing Services, LLC01-02-2018
William Edward Williams Jr.Fifth Third Securities, Inc.First Citizens Investor Services, Inc.10-19-2018
Charles Warren SmithFifth Third Securities, Inc.SunTrust Investment Services, Inc.04-01-2019
Joshua P HodgeFifth Third Securities, Inc.Charles Schwab & Co., Inc.07-18-2019

Showing 1 to 17 of 17 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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