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
Philip Paul SchouweilerNYLIFE Securities LLCProEquities, Inc.10-09-2012
Racey Alan MorrisNYLIFE Securities LLCRaymond James Financial Services Advisors, Inc11-19-2014
Rakesh Kumar SharmaNYLIFE Securities LLCPark Avenue Securities LLC10-25-2012
Ralph Edward Thompson Jr.NYLIFE Securities LLCNorthwestern Mutual Investment Services, LLC05-03-2017
Raquel TorresNYLIFE Securities LLCJ.P. Morgan Securities LLC05-08-2018
Ravenna Diane DodsNYLIFE Securities LLCNorthwestern Mutual Investment Services, LLC07-21-2015
Ravi D BalchandNYLIFE Securities LLCAXA Advisors, LLC10-27-2009
Raymond Edward LancasterNYLIFE Securities LLCTIAA-CREF Individual & Institutional Services, LLC09-11-2018
Rebecca Ann GorrellNYLIFE Securities LLCMetLife Securities Inc.05-29-2012
Reid Evan ThompsonNYLIFE Securities LLCNorthstar Securities, LLC$5005-16-2018
Rene BartheNYLIFE Securities LLCWells Fargo Clearing Services, LLC09-02-2016
Renee Rose KremmNYLIFE Securities LLCBanc of America Investment Services, Inc.10-20-2009
Reuel Moore Sr.NYLIFE Securities LLCAllstate Financial Services, LLC09-20-2016
Ria Ann BattistiNYLIFE Securities LLCJ.P. Morgan Securities LLC11-06-2018
Richard Oliver McBryde Jr.NYLIFE Securities LLCWaddell & Reed07-19-2011
Richard Ronald BaginskiNYLIFE Securities LLCSignator Investors, Inc.09-12-2011
Rigoberto Antonio RuizNYLIFE Securities LLCEdward Jones07-09-2019
Robert Augustus Cera Jr.NYLIFE Securities LLCLincoln Financial Advisors Corporation05-28-2014
Robert Charles Crocker Jr.NYLIFE Securities LLCSantander Securities LLC11-25-2014
Robert Emmett HicksNYLIFE Securities LLCBrokersXpress LLC$2501-19-2012
Robin Gawain LongNYLIFE Securities LLCThrivent Investment Management Inc.05-22-2014
Roger Edward ZiliakNYLIFE Securities LLCMML Investors Services, LLC12-16-2010
Roger Ivar GrumdahlNYLIFE Securities LLCThrivent Investment Management Inc.11-06-2015
Roger Wayne CarlsonNYLIFE Securities LLCAXA Advisors, LLC09-07-2016
Ryan Douglas GibbsNYLIFE Securities LLCSagePoint Financial, Inc.12-08-2009
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Showing 226 to 250 of 307 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 and can not be resold, republished, redistributed, sublicensed, or copied for any other use without the permission of InvestmentNews LLC.


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