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
Roscoe Otis OrtonMML Investors Services, LLCAXA Advisors, LLC$101-05-2009
Todd Andrew RoseMML Investors Services, LLCTCA Financial Group, LLC01-07-2009
John Clarence MollettMML Investors Services, LLCAXA Advisors, LLC01-08-2009
James Dennis CovingtonMML Investors Services, LLCCambridge Way, Inc.$2501-12-2009
Tammy B PaxtonMML Investors Services, LLCThoroughbred Financial Services, LLC01-16-2009
Jonathan Tj AlthoffMML Investors Services, LLCUvest Financial Services Group, Inc.01-20-2009
Jonathan Todd WilliamsMML Investors Services, LLCNorthwestern Mutual Investment Services, LLC$5001-20-2009
Byron J DunlapMML Investors Services, LLCLincoln Financial Distributors, Inc.01-21-2009
Christopher John SpadaforaMML Investors Services, LLCNew England Securities$2501-26-2009
Elaine Marie BayliffMML Investors Services, LLCPark Avenue Securities LLC02-11-2009
Jonathan D PhanMML Investors Services, LLCPark Avenue Securities LLC$5002-11-2009
John William Wheeler Jr.MML Investors Services, LLCPark Avenue Securities LLC$15002-12-2009
Michael Jason SacherMML Investors Services, LLCPark Avenue Securities LLC02-17-2009
Bruce Douglas UphamMML Investors Services, LLCVALIC Financial Advisors, Inc.$2502-18-2009
Matthew Bernard MeliusMML Investors Services, LLCCitigroup Global Markets Inc.02-26-2009
Jason R. CampbellMML Investors Services, LLCPrincipal Securities, Inc.02-27-2009
Scott E CloseMML Investors Services, LLCNorthwestern Mutual Investment Services, LLC$103-04-2009
Jeffrey Stewart MccreeryMML Investors Services, LLCNew England Securities$2503-10-2009
Leslie Robert RosenblattMML Investors Services, LLCAXA Advisors, LLC03-10-2009
Ira Scott KallishMML Investors Services, LLCAmeriprise Financial Services, Inc.03-17-2009
Steven Michael EffertMML Investors Services, LLCM&I Financial Advisors, Inc.03-19-2009
Debby Jo FuglebergMML Investors Services, LLCNYLIFE Securities LLC03-26-2009
Steven Patrick RowanMML Investors Services, LLCThrivent Investment Management Inc.03-31-2009
Gavin James ParkerMML Investors Services, LLCPrincipal Securities, Inc.04-01-2009
Kevin Von Von GoinsMML Investors Services, LLCAXA Advisors, LLC04-01-2009
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Showing 1 to 25 of 1,564 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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