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.

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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 1,562 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.

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