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
Brian Forrest StokesIndependent Financial Group, LLCLPL Financial LLC$5002-10-2009
Bryan Jay WertzerIndependent Financial Group, LLCPension Planners Securities, Inc.02-13-2009
Steven Roy SutleyIndependent Financial Group, LLCPension Planners Securities, Inc.02-13-2009
Brett Arthur HartvigsonIndependent Financial Group, LLCLPL Financial LLC04-06-2009
Michael Joseph CarlucciIndependent Financial Group, LLCLincoln Financial Advisors Corporation04-27-2009
Kelly H ClydeIndependent Financial Group, LLCMCL Financial Group, Inc.07-16-2009
William George RyanIndependent Financial Group, LLCTransamerica Financial Advisors, Inc.07-20-2009
Martin H. SakaiIndependent Financial Group, LLCCetera Advisor Networks LLC08-04-2009
Douglas Scott ShanerIndependent Financial Group, LLCSagePoint Financial, Inc.08-17-2009
Michelle N VizziIndependent Financial Group, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated08-31-2009
Steven J CollinsIndependent Financial Group, LLCH. Beck, Inc.10-02-2009
Ralph Herman HendryIndependent Financial Group, LLCCitigroup Global Markets Inc.11-17-2009
Alan Lee ShorrIndependent Financial Group, LLCAFA Advisor Services LLC$10001-26-2010
Robert Benton ScottIndependent Financial Group, LLCSagePoint Financial, Inc.$5002-22-2010
Kenneth Paul GuerraIndependent Financial Group, LLCVoya Financial Advisors, Inc.$2502-26-2010
Jack ThomasIndependent Financial Group, LLCAFA Advisor Services LLC03-01-2010
James Edward HarrisIndependent Financial Group, LLCAFA Advisor Services LLC04-26-2010
Cynthia Mary CouyoumjianIndependent Financial Group, LLCFirst Allied Securities, Inc.$10004-28-2010
Bruce Phillips StoneIndependent Financial Group, LLCAFA Advisor Services LLC04-28-2010
Alexander Earl LessardIndependent Financial Group, LLCAFA Advisor Services LLC$2505-05-2010
John Herbert CadwellIndependent Financial Group, LLCCullum & Burks Securities, Inc.$5005-12-2010
Troy J. BennettIndependent Financial Group, LLCAmeritas Investment Corp.$1005-21-2010
Mark Edward BobinIndependent Financial Group, LLCLPL Financial LLC$1006-28-2010
John Eric CarlsonIndependent Financial Group, LLCWells Fargo Investments, LLC07-13-2010
Jim Micheal McElravyIndependent Financial Group, LLCChase Investment Services Corp.07-22-2010
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Showing 1 to 25 of 162 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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