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
Stephen Scott ShermanHilltop Securities Inc.Ameriprise Financial Services, Inc.07-11-2019
William Fredric Kellogg Jr.Hilltop Securities Inc.IHT Wealth Management LLC07-08-2019
Wesley James DarilekHilltop Securities Inc.Wells Fargo Clearing Services, LLC$2506-14-2019
Vickie Sue WiseHilltop Securities Inc.BOK Financial Services, Inc.$23703-23-2018
Kimberly Kay RuleHilltop Securities Inc.Wells Fargo Clearing Services, LLC$5001-12-2018
John Christian CoyleHilltop Securities Inc.Oppenheimer & Co. Inc.$5008-11-2017
Lacy Nicole PritchardHilltop Securities Inc.Morgan Stanley05-30-2017
Victor Fernand MedinaHilltop Securities Inc.Morgan Stanley$2504-21-2017
Stuart Wier FordHilltop Securities Inc.Coastal Securities, Inc.03-31-2017
James Frederick MartinHilltop Securities Inc.UBS Financial Services Inc.$6009-09-2016
Lawrence Jude MessinaHilltop Securities Inc.Stifel, Nicolaus & Company, Incorporated$1,00007-08-2016
Michael NewmanHilltop Securities Inc.First Southwest Company, LLC$5001-22-2016
Mary Katheryn WilliamsHilltop Securities Inc.First Southwest Company, LLC01-22-2016
John Carl Rutledge Sr.Hilltop Securities Inc.First Southwest Company, LLC01-22-2016
John Scott StamperHilltop Securities Inc.First Southwest Company, LLC01-22-2016
Wayne Evan DaughertyHilltop Securities Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated10-23-2015
Michael Edward FornerHilltop Securities Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$10008-21-2015
Richard Louis Galen Jr.Hilltop Securities Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated08-21-2015
Bryan Ray WrightHilltop Securities Inc.Raymond James & Associates, Inc.$1006-15-2015
Gene Parvon Dickey Jr.Hilltop Securities Inc.Raymond James & Associates, Inc.05-10-2013
Thomas Warren DarilekHilltop Securities Inc.Raymond James & Associates, Inc.$15004-19-2013
William Howard Humphreys Jr.Hilltop Securities Inc.Raymond James & Associates, Inc.$10004-19-2013
Vito D'AngeloHilltop Securities Inc.Raymond James & Associates, Inc.$5004-19-2013
James Fremont WoodcockHilltop Securities Inc.Raymond James & Associates, Inc.04-19-2013
Jonathan Scott RogersHilltop Securities Inc.1st Global Capital Corp.11-19-2012
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Showing 1 to 25 of 39 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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