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
Jeffrey Scott HoadleyLPL Financial LLCNational Planning Corporation$1011-29-2017
Richard John DonatelliLPL Financial LLCNational Planning Corporation11-29-2017
Lawrence Elliot NovickLPL Financial LLCNational Planning Corporation11-29-2017
John Andrew LawsonLPL Financial LLCNational Planning Corporation11-29-2017
James Francis McCoy Jr.LPL Financial LLCNational Planning Corporation11-29-2017
Ned Lowrey RigsbeeLPL Financial LLCNational Planning Corporation11-29-2017
Henry Alan MartLPL Financial LLCInvestment Centers of America, Inc.11-29-2017
Jeffrey Scott GraunkeLPL Financial LLCNational Planning Corporation11-29-2017
John Wade ElliottLPL Financial LLCInvestment Centers of America, Inc.11-29-2017
Steven Craig RefkinLPL Financial LLCNational Planning Corporation11-29-2017
Dustin Robert OrrLPL Financial LLCInvestment Centers of America, Inc.11-29-2017
Paul David CockmanLPL Financial LLCJ.J.B. Hilliard, W.L. Lyons, LLC$2511-21-2017
Ronald Baliton, Celeste Byers, Louis Capezza, Steve Compton, Todd Feintuch, Keith Gilmour, Peter Lowery, Tobias Meek, Carl Newton, Dennis Nolte, James ZickLPL Financial LLCInvest Financial$41111-16-2017
Louis Anthony CapezzaLPL Financial LLCINVEST Financial Corporation$5011-15-2017
Dennis Roger NolteLPL Financial LLCINVEST Financial Corporation$3011-15-2017
Lynda Goff MillerLPL Financial LLCINVEST Financial Corporation11-15-2017
Steven Scott ComptonLPL Financial LLCINVEST Financial Corporation11-15-2017
Tobias Allan MeekLPL Financial LLCINVEST Financial Corporation11-15-2017
Carl David NewtonLPL Financial LLCINVEST Financial Corporation11-15-2017
Lester Edgar Hockenbery Jr.LPL Financial LLCSA Stone Wealth Management Inc.$4611-07-2017
Clifford Rue SwabyLPL Financial LLCWells Fargo Clearing Services, LLC$3211-07-2017
Johanna Marie WinslowLPL Financial LLCThe Leaders Group, Inc.10-24-2017
Max PotosmeLPL Financial LLCMML Investors Services, LLC10-23-2017
Urban Cyril FlemingLPL Financial LLCCetera Investment Services LLC09-25-2017
Richard Henry NadeauLPL Financial LLCAllstate Financial Services, LLC09-25-2017
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Showing 126 to 150 of 380 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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