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
Jeffery David FierceLPL Financial LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated01-16-2009
Richard Jay HawkLPL Financial LLCCitigroup Global Markets Inc.$5001-26-2009
Joshua Scott CorwinLPL Financial LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated03-06-2009
Michael E. HarperLPL Financial LLCCitigroup Global Markets Inc.05-22-2009
Stephen E. YostLPL Financial LLCEdward Jones06-01-2009
Zachary Ryan SchroerLPL Financial LLCWatermark Wealth Management, LLC$1006-02-2009
Bruce Allen EvansLPL Financial LLCCUNA Brokerage Services, Inc.06-16-2009
Terry Roger CoxLPL Financial LLCCUNA Brokerage Services, Inc.06-16-2009
Jim B. WolfLPL Financial LLCCUNA Brokerage Services, Inc.06-16-2009
Jerry Lee Cary Jr.LPL Financial LLCEdward Jones06-30-2009
Michael Joseph KelleyLPL Financial LLCMutual Service Corporation09-08-2009
Thomas Arthur ButlerLPL Financial LLCMutual Service Corporation09-08-2009
David George YearwoodLPL Financial LLCMutual Service Corporation09-08-2009
Julie Ann ThompsonLPL Financial LLCMutual Service Corporation09-08-2009
Charles Peter PileckiLPL Financial LLCMutual Service Corporation09-08-2009
Danny Lee WilburnLPL Financial LLCWaterstone Financial Group, Inc.09-08-2009
Daniel Joseph GandolphLPL Financial LLCMutual Service Corporation09-08-2009
Karen Pardieck GrindlayLPL Financial LLCMutual Service Corporation09-08-2009
Jack Randall AndersonLPL Financial LLCMutual Service Corporation09-08-2009
Alex Michael KneppLPL Financial LLCCetera Investment Services LLC10-06-2009
Richard Malcolm Fletcher Jr.LPL Financial LLCINVEST Financial Corporation11-30-2009
Gary David SheltonLPL Financial LLCINVEST Financial Corporation11-30-2009
Timothy Scott SwickardLPL Financial LLCINVEST Financial Corporation11-30-2009
Douglas Edward BaimLPL Financial LLCCincinnati Analysts, Inc.$1005-17-2010
Gregory Paul FarrallLPL Financial LLCLakeside Wealth Management Group, LLC$15006-22-2010
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Showing 1 to 25 of 137 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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