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
James PaquetteInvestacorpBerthel Fisher$5204-04-2012
Terry Vrieze, Jayme Bresnahan, Edward Modglin, Peter Rothamel, Vincent SturmInvestacorpBroker Dealer Financial Services$11612-02-2013
Stephen KilpatrickInvestacorpbrokersXpress$4006-05-2012
Michael Fornasier, John Petraglia, Linda VenturaInvestacorpCabot Lodge Securities$7507-09-2015
David CloggInvestacorpChapin Davis$5006-20-2014
Warren RockmacherInvestacorpChase Investment Services$6804-16-2012
Willie HowardInvestacorpEdward Jones$5006-16-2011
Keith Patterson, Frank RichardsonInvestacorpGeneos Wealth Management$6001-12-2012
Frank Rapini, Curt SimonsenInvestacorpHornor Townsend & Kent$10010-20-2011
Michael Nobile, Scott Hinchey, Michael McCabe, David TauberInvestacorpInvest Financial$25009-08-2015
Robert L. Chess, Robert L. HawkinsInvestacorpInvest Financial$15001-23-2014
Steven LeachInvestacorpInvestment Professionals$6502-06-2015
Keith E. SingerInvestacorpKovack Securities$12008-12-2015
Gwen GarrisonInvestacorpKovack Securities$5012-03-2014
Jerome WallInvestacorpLincoln Financial$5007-24-2014
Garth IveyInvestacorpLincoln Financial$4511-29-2013
James Elliott, Dana Wright, Gregory FrankosInvestacorpLPL Financial$6803-18-2014
David Ortiz & German RamirezInvestacorpNational Planning$6012-01-2011
Dean Spada, Kimberly SaxtonInvestacorpNew Alliance Investments$10004-15-2011
John Gray, Jerri Gray, Jim DriskellInvestacorpNext Financial$9002-04-2013
William BugdonInvestacorpNext Financial$5011-07-2011
Matthew DernisInvestacorpRoyal Alliance$5007-31-2012
Jon ArnoldInvestacorpSagePoint Financial$6002-22-2012
Mauro GuerraInvestacorpSecurities Service Network$5004-12-2011
Edward KlugInvestacorpSII Investments$5010-01-2014
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Showing 1 to 25 of 32 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.


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