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$25001-05-2009
Nicole Rachelle MosleyLPL Financial LLCAmeriprise Financial Services, Inc.01-27-2009
Albert Spelsberg IIILPL Financial LLCWells Fargo Clearing Services, LLC (Formerly Wells Fargo Advisors, LLC)$25002-13-2009
Andrew William HoskinsLPL Financial LLCIndependent Financial Partners$50002-17-2009
Ivan Alexis Ramirez-RamirezLPL Financial LLCIndependent Financial Partners$50002-17-2009
Joseph Frank FinkLPL Financial LLCIndependent Financial Partners$15003-06-2009
Steven Thomas MossLPL Financial LLCWells Fargo Clearing Services, LLC (Formerly Wells Fargo Advisors, LLC)$25003-06-2009
Timothy Jeffrey ReikLPL Financial LLCProEquities, Inc.$10003-13-2009
Curtis Wayne ChambersLPL Financial LLCEdward Jones$50003-13-2009
Michael Patrick HendersonLPL Financial LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$50003-27-2009
Jason Earl WoodallLPL Financial LLCBanc of America Investment Services, Inc.03-31-2009
Robert L ArroyoLPL Financial LLCUBS Financial Services Inc.$50004-23-2009
Walter J HielLPL Financial LLCEdward Jones$25004-27-2009
Darrin James MarkeyLPL Financial LLCUBS Financial Services Inc.$25004-30-2009
Cortes Trevor BickingLPL Financial LLCWells Fargo Clearing Services, LLC (Formerly Wells Fargo Advisors, LLC)$25005-12-2009
John Carlos SarlatLPL Financial LLCRaymond James & Associates, Inc.$10006-01-2009
Joe William FaulkLPL Financial LLCEdward Jones$10006-26-2009
Michael Lee TannerLPL Financial LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$15007-02-2009
Diane Elaine HutchingsLPL Financial LLCPruco Securities, LLC.$25007-02-2009
Max R. GarrisonLPL Financial LLCCollaborative Wealth$10007-10-2009
Francis Albert Bautz Jr.LPL Financial LLCLincoln Financial Advisors Corporation$10007-27-2009
Sharon Levy BautzLPL Financial LLCLincoln Financial Advisors Corporation$50007-27-2009
Alfonso Alberto Borrero Jr.LPL Financial LLCBanc of America Investment Services, Inc.$10008-14-2009
Lisa Marie HuntLPL Financial LLCTransamerica Financial Advisors, Inc08-18-2009
Robert Pring ColettaLPL Financial LLCCetera Investment Services LLC08-31-2009
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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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