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
Jon Scott PayneIndependent Financial Group, LLCCapital Financial Services, Inc.07-15-2016
Ernest J. CoxIndependent Financial Group, LLCFortune Financial Services, Inc.$4404-19-2016
Jason Jitsuro YamamotoIndependent Financial Group, LLCAmerican Capital Partners, LLC04-15-2016
James Edward DillonIndependent Financial Group, LLCTransamerica Financial Advisors, Inc03-31-2016
Grant Allan HansenIndependent Financial Group, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated02-22-2016
Brett Richard ClarkeIndependent Financial Group, LLCVoya Financial Advisors, Inc.11-18-2015
Rick J. WertheimIndependent Financial Group, LLCAmeriprise Financial Services, Inc.10-29-2015
Tsanshiau Shawn LinIndependent Financial Group, LLCVoya Financial Advisors, Inc.$2510-09-2015
Phyllis Tai Wah ChanIndependent Financial Group, LLCVoya Financial Advisors, Inc.10-09-2015
Shao-Tsung TsengIndependent Financial Group, LLCVoya Financial Advisors, Inc.10-06-2015
Daniel Tuan Kien LoyIndependent Financial Group, LLCVoya Financial Advisors, Inc.09-29-2015
Kenneth Rick CraigIndependent Financial Group, LLCU.S. Bancorp Investments, Inc.09-18-2015
Stewart GinnIndependent Financial Group, LLCNewbridge Securities Corporation09-03-2015
Michael Dwaine WatsonIndependent Financial Group, LLCLPL Financial LLC09-01-2015
Sean Hooman AgahiIndependent Financial Group, LLCHorizon Wealth Group, LLC.$5008-14-2015
Timothy Richard YeeIndependent Financial Group, LLCLPL Financial LLC$5007-08-2015
Edwin Courtney McClure IIIIndependent Financial Group, LLCLPL Financial LLC$2507-07-2015
Elaine Lisa HartmanIndependent Financial Group, LLCJHS Capital Advisors, LLC06-16-2015
Daniel Stephen CampbellIndependent Financial Group, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated05-15-2015
Victoria L. PlumIndependent Financial Group, LLCJ.P. Turner & Company, L.L.C.03-19-2015
Xavier Marshall RayIndependent Financial Group, LLCQuestar Capital Corporation$2503-13-2015
Deepen Arvind ModiIndependent Financial Group, LLCFirst Midwest Securities, Inc.$5002-20-2015
Lei ShenIndependent Financial Group, LLCLPL Financial LLC01-22-2015
Jonathan Arthur LopezIndependent Financial Group, LLCLPL Financial LLC11-03-2014
Mark Robert DiaddezioIndependent Financial Group, LLCH. Beck, Inc.10-31-2014
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Showing 51 to 75 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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