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
John Stratton HettigerMML Investors Services, LLCAXA Advisors, LLC$25005-01-2009
Michael Dean ReedMML Investors Services, LLCNYLIFE Securities LLC09-01-2009
Michael Patrick CahillMML Investors Services, LLCLincoln Financial Advisors Corporation$10002-01-2010
Anthony James KerinsMML Investors Services, LLCSignator Investors, Inc.$10007-20-2010
Kevin Carl GutweinMML Investors Services, LLCNational Planning Corporation$10001-14-2011
Kathy Lynn KlingerMML Investors Services, LLCEdward Jones03-01-2011
Jennifer Lynn SissonMML Investors Services, LLCEdward Jones04-04-2011
Christopher John MackenzieMML Investors Services, LLCNorthwestern Mutual Investment Services, LLC09-05-2012
Damon Joseph PhelanMML Investors Services, LLCNorthwestern Mutual Investment Services, LLC09-06-2012
Jamie Allen AsherMML Investors Services, LLCNorthwestern Mutual Investment Services, LLC$15010-23-2013
Patrick Edward MurrayMML Investors Services, LLCNorthwestern Mutual Investment Services, LLC10-23-2013
Joseph P. KnothMML Investors Services, LLCNorthwestern Mutual Investment Services, LLC10-23-2013
Steve M StevensMML Investors Services, LLCNorthwestern Mutual Investment Services, LLC02-20-2014
Matthew William HolbrookMML Investors Services, LLCNorthwestern Mutual Investment Services, LLC$10006-11-2014
Shane Dewitt HouserMML Investors Services, LLCSecurian Financial Services, Inc.06-16-2014
Gary Bruce WoolmanMML Investors Services, LLCSecurian Financial Services, Inc.$21006-17-2014
Wayne Allen PiperMML Investors Services, LLCNYLIFE Securities LLC07-17-2014
Donna Lynn PetriMML Investors Services, LLCLincoln Financial Securities Corporation02-10-2015
Sean Kelley LewisMML Investors Services, LLCTransamerica Financial Advisors, Inc07-09-2015
Steven Stoner SharpMML Investors Services, LLCForesters Financial Services, Inc.02-16-2016
Weslee D PhelpsMML Investors Services, LLCCharles Schwab & Co., Inc.07-05-2016
Edward R. WildermuthMML Investors Services, LLCNYLIFE Securities LLC04-13-2017
David W. SpeckmanMML Investors Services, LLCNorthwestern Mutual Investment Services, LLC07-12-2017
Seth M. AttingerMML Investors Services, LLCOneAmerica Securities, Inc.07-25-2017
Carl Andrew UpchurchMML Investors Services, LLCPark Avenue Securities LLC$10009-29-2017
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Showing 1 to 25 of 34 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 InvestmentNews.com and can not be resold, republished, redistributed, sublicensed, or copied for any other use without the permission of InvestmentNews LLC.

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