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
Adam David SchwartzMML Investors Services, LLCNYLIFE Securities LLC06-12-2019
Benjamin James KagelMML Investors Services, LLCEdward Jones06-12-2019
Shameeza AllyMML Investors Services, LLCHSBC Securities (USA) Inc.06-11-2019
Jessica M HollowayMML Investors Services, LLCNorthwestern Mutual Investment Services, LLC$2506-10-2019
Adam Jude CorwinMML Investors Services, LLCOneAmerica Securities, Inc.06-10-2019
Aaron M BaltzMML Investors Services, LLCNorthwestern Mutual Investment Services, LLC06-10-2019
Christopher Adam FieldsMML Investors Services, LLCForesters Financial Services, Inc.06-07-2019
Amy JamrogMML Investors Services, LLCNorthwestern Mutual Investment Services, LLC06-05-2019
Bashar K. BarazMML Investors Services, LLCSecurian Financial Services, Inc.06-05-2019
Kenneth Vincent GentileMML Investors Services, LLCAXA Advisors, LLC06-05-2019
Joseph Charles FingererMML Investors Services, LLCAllstate Financial Services, LLC05-31-2019
Jessica Ann ParettaMML Investors Services, LLCHorace Mann Investors, Inc.05-31-2019
Matthew Aaron AmbuehlMML Investors Services, LLCPruco Securities, LLC.05-29-2019
Adam Joseph SwerdlowMML Investors Services, LLCNorthwestern Mutual Investment Services, LLC05-28-2019
Tatiana BeltranMML Investors Services, LLCNYLIFE Securities LLC05-23-2019
Nicholas Daniel GoinsMML Investors Services, LLCWells Fargo Clearing Services, LLC05-22-2019
Sean Patrick O'RourkeMML Investors Services, LLCCitizens Securities, Inc.05-21-2019
Emilio Enrique Rivera Jr.MML Investors Services, LLCNYLIFE Securities LLC05-20-2019
Liane Kimura ChongMML Investors Services, LLCAmeriprise Financial Services, LLC05-17-2019
Christopher J. BarrMML Investors Services, LLCPershing LLC05-16-2019
Kara B. KeysMML Investors Services, LLCTD Ameritrade, Inc.05-16-2019

Showing 1 to 21 of 21 entries

Page 1

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.