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
Brian Charles Dorsey Jr.NYLIFE Securities LLCAXA Advisors, LLC$2305-30-2018
Thinh Quoc NguyenNYLIFE Securities LLCMetLife Securities Inc.01-20-2017
Stephen Clark BakerNYLIFE Securities LLCMML Investors Services, LLC12-22-2016
George A. LeisureNYLIFE Securities LLCMML Investors Services, LLC11-23-2015
Taekeia Maree DowlingNYLIFE Securities LLCFirst Command Financial Planning, Inc.10-15-2015
Maria Anastas LermanNYLIFE Securities LLCMML Investors Services, LLC01-26-2015
Mario Roberto OrozcoNYLIFE Securities LLCVALIC Financial Advisors, Inc.09-30-2014
Deborah Lynn TappanNYLIFE Securities LLCSpire Securities, LLC07-24-2013
Matthew Scott WorthingtonNYLIFE Securities LLCMetLife Securities Inc.10-05-2012
Patricia Bullock BranchNYLIFE Securities LLCNorthwestern Mutual Investment Services, LLC03-06-2012
Debbie Y. ParkNYLIFE Securities LLCMML Investors Services, LLC05-13-2010
Ryan Douglas GibbsNYLIFE Securities LLCSagePoint Financial, Inc.12-08-2009

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.


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