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
Paul E. LowreyLPL Financial LLCEdward Jones$2501-05-2009
Steven Thomas MossLPL Financial LLCWells Fargo Clearing Services, LLC03-06-2009
Curtis Wayne ChambersLPL Financial LLCEdward Jones03-13-2009
Jason Earl WoodallLPL Financial LLCBanc of America Investment Services, Inc.03-31-2009
Walter J HielLPL Financial LLCEdward Jones$2504-27-2009
Darrin James MarkeyLPL Financial LLCUBS Financial Services Inc.04-30-2009
Cortes Trevor BickingLPL Financial LLCWells Fargo Clearing Services, LLC$2505-12-2009
John Carlos SarlatLPL Financial LLCRaymond James & Associates, Inc.06-01-2009
Michael Lee TannerLPL Financial LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$15007-02-2009
Diane Elaine HutchingsLPL Financial LLCPruco Securities, LLC.07-02-2009
Francis Albert Bautz Jr.LPL Financial LLCLincoln Financial Advisors Corporation07-27-2009
Sharon Levy BautzLPL Financial LLCLincoln Financial Advisors Corporation07-27-2009
Steven Ira FeiertagLPL Financial LLCMutual Service Corporation$10009-08-2009
Edward Ray GardnerLPL Financial LLCAssociated Securities Corp.09-08-2009
Louis James KnoxLPL Financial LLCAssociated Securities Corp.09-08-2009
Jeffrey Peter StephanLPL Financial LLCMutual Service Corporation09-08-2009
John Edward RainoneLPL Financial LLCMutual Service Corporation09-08-2009
Stuart Z ShapiroLPL Financial LLCMutual Service Corporation09-08-2009
Arnold Ralph McFarlaneLPL Financial LLCAssociated Securities Corp.09-08-2009
Michael Charles McCordLPL Financial LLCMutual Service Corporation09-08-2009
Louis Thomas Robertson Jr.LPL Financial LLCMutual Service Corporation09-08-2009
Jerrold Edward SlutzkyLPL Financial LLCMutual Service Corporation09-08-2009
Joyce E. GreenLPL Financial LLCMutual Service Corporation09-08-2009
Christine Rose SchmittLPL Financial LLCMutual Service Corporation09-08-2009
James Darrell Bowen Jr.LPL Financial LLCMutual Service Corporation09-08-2009
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Showing 1 to 25 of 386 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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