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
Adrian Paul Burke IIILPL Financial LLCNorthwestern Mutual Investment Services, LLC01-02-2009
Jeffrey Allen KeessenLPL Financial LLCPrincipal Securities, Inc.$2501-22-2009
Douglas Robert FisherLPL Financial LLCRaymond James Financial Services Advisors, Inc02-23-2009
Jason Michael KooistraLPL Financial LLCRaymond James Financial Services, Inc.02-23-2009
Louis Joseph WojtowiczLPL Financial LLCCitigroup Global Markets Inc.$5003-27-2009
Dmitry ArshanskyLPL Financial LLCUBS Financial Services Inc.$1005-13-2009
Steven Thomas MarletteLPL Financial LLCUBS Financial Services Inc.$1005-18-2009
James T. SinclairLPL Financial LLCUBS Financial Services Inc.05-21-2009
Nimish DesaiLPL Financial LLCUBS Financial Services Inc.06-04-2009
Brant Robert ShrimplinLPL Financial LLCOppenheimer & Co. Inc.07-02-2009
Robert Dean ShrimplinLPL Financial LLCOppenheimer & Co. Inc.07-02-2009
William George Lethemon IIILPL Financial LLCWells Fargo Advisors Financial Network, LLC07-28-2009
Daniel John CetnarLPL Financial LLCInvestment Advisors International, Inc.08-12-2009
Loren J. MorrisonLPL Financial LLCEchotrade LLC08-17-2009
Michael Leon AllisonLPL Financial LLCRobert W. Baird & Co. Incorporated$5008-31-2009
Gregory Alan DaviesLPL Financial LLCMutual Service Corporation$15009-08-2009
Cleaton Melvin Lindsey IIILPL Financial LLCMutual Service Corporation$2509-08-2009
James Walter BochenekLPL Financial LLCMutual Service Corporation09-08-2009
Elisabeth Cocchi GaleaLPL Financial LLCMutual Service Corporation09-08-2009
Beverly Jean TobocmanLPL Financial LLCAssociated Securities Corp.09-08-2009
Kevin Scott DodgeLPL Financial LLCMutual Service Corporation09-08-2009
Yvonne Kay White RundellLPL Financial LLCMutual Service Corporation09-08-2009
Randall Kinsel ChapmanLPL Financial LLCMutual Service Corporation09-08-2009
James John Ciennik IIILPL Financial LLCMutual Service Corporation09-08-2009
David James SmolarekLPL Financial LLCMutual Service Corporation09-08-2009
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Showing 1 to 25 of 245 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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