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
Evan Leigh WolkKMS Financial Services, Inc.1st Worldwide Financial Partners, LLC$2506-25-2013
Peggy Lynn FarnworthKMS Financial Services, Inc.AFA Advisor Services LLC$1005-04-2010
David Stuart EskenaziKMS Financial Services, Inc.Allied Asset Management, Inc.06-22-2016
James Robert PiperKMS Financial Services, Inc.Ameriprise Financial Services, Inc.$2502-05-2016
Kathryn Shea HenningsenKMS Financial Services, Inc.Avier Wealth Advisors02-09-2015
Joshua Michael GraeffKMS Financial Services, Inc.AXA Advisors, LLC02-28-2014
Gary Gene MitchellKMS Financial Services, Inc.Barclay West Financial Advisors$2506-10-2010
Paul K. DoakKMS Financial Services, Inc.Cambridge Investment Research, Inc.10-16-2019
Kevin John CarlsonKMS Financial Services, Inc.Cambridge Investment Research, Inc.02-10-2016
Lisa Haggai PiersonKMS Financial Services, Inc.Centaurus Financial, Inc.03-06-2015
James Edward GarrisonKMS Financial Services, Inc.Cetera Advisor Networks LLC$1010-26-2017
Kathryn Sue WilsonKMS Financial Services, Inc.Cetera Advisor Networks LLC10-20-2011
John Edward SladkoKMS Financial Services, Inc.Cetera Advisors LLC10-01-2019
Matthew James PulsipherKMS Financial Services, Inc.Cetera Advisors LLC$2507-20-2018
Michael Patrick RaineriKMS Financial Services, Inc.Cetera Advisors LLC04-24-2018
Robert Eugene PanianKMS Financial Services, Inc.Commonwealth Financial Network$2508-31-2012
Suzan Luna JaffeKMS Financial Services, Inc.Edward Jones08-20-2010
James A. SchallerKMS Financial Services, Inc.FSC Securities Corporation$1002-12-2010
Brenda Rose PingreeKMS Financial Services, Inc.FSIC02-01-2018
Kurt Andrew RoddyKMS Financial Services, Inc.FSIC$25001-02-2018
George Wallace Hook IIIKMS Financial Services, Inc.FSIC12-21-2017
Timothy Lee BoveyKMS Financial Services, Inc.FSIC$9712-05-2017
Shaun Jeffery DeanKMS Financial Services, Inc.FSIC$2512-05-2017
Daniel Christian GiddensKMS Financial Services, Inc.Grant Williams L.P.$10004-01-2014
Erik W. GlushienKMS Financial Services, Inc.Investors Capital Corp.12-16-2010
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Showing 1 to 25 of 58 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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