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

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Adviser(s) Firm joining Firm leaving AUM ($M) Date
Thomas Dewayne BondsNBC Securities, Inc.Ameriprise Financial Services, Inc.07-01-2019
Lisa Michelle CorvoNBC Securities, Inc.Ameriprise Financial Services, Inc.05-07-2019
Sarah Lanier ZoerbNBC Securities, Inc.Ameriprise Financial Services, Inc.$25008-03-2016
Trey Allen NovaraNBC Securities, Inc.AXA Advisors, LLC09-23-2013
Andrew Douglass MullinsNBC Securities, Inc.Banc of America Investment Services, Inc.04-14-2009
Valerie Josephine StrangeNBC Securities, Inc.BBVA Compass Investment Solutions, Inc.03-04-2013
Christopher David RankinNBC Securities, Inc.Cetera Investment Advisers LLC$50005-01-2014
Kevin Marshall MccallumNBC Securities, Inc.Colonial Brokerage, Inc.$10010-30-2009
Cary A GuffeyNBC Securities, Inc.Colonial Brokerage, Inc.10-30-2009
Lisa Ann SumpterNBC Securities, Inc.Conservative Financial Services, Inc.$50006-06-2019
Hardin Sherard BetheaNBC Securities, Inc.Cornwall Partners, LLC05-10-2013
Gregory HarderNBC Securities, Inc.Edward Jones$25007-30-2019
Stephen David TannerNBC Securities, Inc.Edward Jones10-09-2012
Eric Daniel PondNBC Securities, Inc.Fidelity Brokerage Services LLC08-03-2015
Jeffrey John KrugNBC Securities, Inc.Fifth Third Securities, Inc.$25001-01-2014
John Courtney RozierNBC Securities, Inc.FIRST STATE FINANCIAL MANAGEMENT, INC.$10006-07-2019
Cynthia Lanell MinnisNBC Securities, Inc.First State Financial Management, Inc.$50006-07-2019
Melissa Ladonna SchweigertNBC Securities, Inc.First State Financial Management, Inc.$50006-07-2019
Levi James OlsonNBC Securities, Inc.First State Financial Management, Inc.$50006-07-2019
Jacquelyn J. MajorosNBC Securities, Inc.First State Financial Management, Inc.06-07-2019
Brian Christopher GallagherNBC Securities, Inc.First State Financial Management, Inc.06-07-2019
Joseph Lee BauwensNBC Securities, Inc.First State Financial Management, Inc.06-07-2019
Chasten L BoenNBC Securities, Inc.FIRST STATE FINANCIAL MANAGEMENT, INC.06-07-2019
Susan Mae EvansNBC Securities, Inc.First State Financial Management, Inc.$50006-06-2019
Jeffrey Allen WeberNBC Securities, Inc.First State Financial Management, Inc.$50006-06-2019
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Showing 1 to 25 of 94 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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