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
Brandon Lee HansonNYLIFE Securities LLCThrivent Investment Management Inc.04-15-2015
Brent Alan WalkerNYLIFE Securities LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated06-17-2013
Bret George KoblerNYLIFE Securities LLCMorgan Stanley05-13-2013
Brian Charles Dorsey Jr.NYLIFE Securities LLCAXA Advisors, LLC$2305-30-2018
Brian Thomas CaseyNYLIFE Securities LLCFSC Securities Corporation07-26-2011
Bruce Edward DowellNYLIFE Securities LLCMetLife Securities Inc.02-05-2014
Cai Kui ChenNYLIFE Securities LLCMetLife Securities Inc.02-19-2009
Cameron Davidlouis LagalaNYLIFE Securities LLCBancWest Investment Services, Inc.12-08-2016
Carlos Bernard VicentNYLIFE Securities LLCNYLIFE Distributors LLC04-16-2013
Carmine Brandon CoppolaNYLIFE Securities LLCMML Investors Services, LLC08-17-2017
Carol Ann Duncan-SmithNYLIFE Securities LLCHarbinger Asset Management, LLC10-16-2012
Chad Jonathon RustenNYLIFE Securities LLCThrivent Investment Management Inc.07-22-2014
Chad Michael WorozakenNYLIFE Securities LLCWells Fargo Clearing Services, LLC02-15-2017
Charan KhuranaNYLIFE Securities LLCUSAA Financial Advisors, Inc.07-10-2012
Charles A. TuckerNYLIFE Securities LLCNational Planning Corporation01-18-2012
Charles Curtis Foight IIINYLIFE Securities LLCPNC Investments10-23-2012
Charles Eugene Pascu IINYLIFE Securities LLCAXA Advisors, LLC10-28-2013
Cherrill Corby LewisNYLIFE Securities LLCInvestment Planners, Inc.$2504-09-2018
Chien Kain YehNYLIFE Securities LLCWells Fargo Clearing Services, LLC06-24-2011
Choddie Toi BryantNYLIFE Securities LLCMetLife Securities Inc.$1005-06-2015
Christopher J. GrimesNYLIFE Securities LLCCharles Schwab & Co., Inc.02-08-2011
Christopher Neal AldersonNYLIFE Securities LLCMetLife Securities Inc.04-06-2017
Christopher William PfluegerNYLIFE Securities LLCCountry Capital Management Company09-01-2016
Christy Andrea MeyersNYLIFE Securities LLCMutual of Omaha Investor Services, Inc.11-26-2013
Cody C RiestererNYLIFE Securities LLCEdward Jones05-22-2019
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Showing 26 to 50 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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