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.

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Adviser(s) Firm joining Firm leaving AUM ($M) Date
Bruce Douglas UphamMML Investors Services, LLCVALIC Financial Advisors, Inc.02-18-2009
Patrisha LeeMML Investors Services, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated03-05-2009
Leslie Robert RosenblattMML Investors Services, LLCAXA Advisors, LLC03-10-2009
Virgil D. Richmond IIMML Investors Services, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated04-21-2009
Douglas Grant BashawMML Investors Services, LLCAXA Advisors, LLC$1005-01-2009
Chad E. BrownMML Investors Services, LLCMML Investors Services, LLC01-01-2010
Brenda Sharon KendallMML Investors Services, LLCSagePoint Financial, Inc.$1001-08-2010
Darren Scott ScrimpshireMML Investors Services, LLCAmeriprise Financial Services, LLC01-08-2010
Michael Prince MassadMML Investors Services, LLCMML Investors Services, LLC05-21-2010
Jarrod Wesson FloresMML Investors Services, LLCNorthwestern Mutual Investment Services, LLC05-25-2010
Samuel Edwin LawMML Investors Services, LLCNorthwestern Mutual Investment Services, LLC05-26-2010
Jeffrey Arnold McCrackenMML Investors Services, LLCLPL Financial LLC06-21-2010
Patrick Carl DicksonMML Investors Services, LLCInvestment Professionals, Inc.$2507-01-2010
Chris R. AlbertsonMML Investors Services, LLCChase Investment Services Corp.07-23-2010
Brandon Ronald FresardMML Investors Services, LLCThrivent Investment Management Inc.08-17-2010
Jean Willie HoodMML Investors Services, LLCWells Fargo Clearing Services, LLC12-07-2010
Phillip Earl FloresMML Investors Services, LLCNew England Securities04-01-2011
Lalit JallanMML Investors Services, LLCNYLIFE Securities LLC$2506-02-2011
Nicholas Ryan AtwoodMML Investors Services, LLCLincoln Financial Advisors Corporation07-05-2011
Daniel Louis DiamondMML Investors Services, LLCLincoln Financial Advisors Corporation01-09-2012
Kenneth David DeanMML Investors Services, LLCHornor, Townsend & Kent, LLC04-09-2012
Sara Gabriela Moreno-JuradoMML Investors Services, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated07-18-2012
Izella Annette WatkinsMML Investors Services, LLCAmeriprise Financial Services, LLC09-11-2012
Timothy Darren StarkMML Investors Services, LLCNorthwestern Mutual Investment Services, LLC$5010-31-2012
Linda Lynn AndersonMML Investors Services, LLCNorthwestern Mutual Investment Services, LLC11-26-2012
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Showing 1 to 25 of 141 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.