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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Latest moves


Adviser(s) Firm joining Firm leaving AUM ($M) Date
James Francis KruseNYLIFE Securities LLCPNC Investments12-17-2018
Richard SernaNYLIFE Securities LLCPNC Investments11-27-2018
Stephen Timothy EstherNYLIFE Securities LLCPNC Investments$15010-08-2018
Sarah Laurene SanteufemioNYLIFE Securities LLCPNC Investments$1010-17-2017
Ryan Fitzgerald BrandonNYLIFE Securities LLCPNC Investments01-06-2017
Jesse John BowmanNYLIFE Securities LLCPNC Investments11-30-2015
Trenton E. FindleyNYLIFE Securities LLCPNC Investments12-03-2014
Mark Ronald DalbowNYLIFE Securities LLCPNC Investments01-22-2014
Charles Curtis Foight IIINYLIFE Securities LLCPNC Investments10-23-2012
Randal Warren FischerNYLIFE Securities LLCPNC Investments10-01-2012
Phyllis Cooper ThompsonNYLIFE Securities LLCPNC Investments$5012-22-2011
Danny Lee LambNYLIFE Securities LLCPNC Investments11-15-2010

Showing 1 to 12 of 12 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.