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
Elizabeth Kendrick PeasleeNational Securities CorporationAdirondack Trading Group LLC05-06-2016
Matthew Bruce SchechnerNational Securities CorporationAegis Capital Corp.03-06-2009
Joseph Edward O'Shea Jr.National Securities CorporationAmeriprise Financial Services, Inc.07-21-2009
Curtis Wayne RavenNational Securities CorporationAXA Advisors, LLC08-18-2014
George John KarapistolisNational Securities CorporationAxiom Capital Management, Inc.$15003-29-2018
Cynthia Lee ParrisNational Securities CorporationBrecek & Young Advisors, Inc.$1001-21-2009
Rodnel Anthony SpellerNational Securities CorporationCetera Advisor Networks LLC08-02-2010
Daniel Hyun Bum SoeNational Securities CorporationCetera Advisor Networks LLC02-25-2010
Christopher Anthony JonesNational Securities CorporationCitigroup Global Markets Inc.04-13-2016
Joseph Christopher KellermanNational Securities CorporationCommerce One Financial Inc.09-05-2014
Marc Lester GoldsteinNational Securities CorporationEastbrook Capital Group LLC$5003-26-2009
Gerald David NeumanNational Securities CorporationFagenson & Co, Inc.02-07-2012
Kenneth Joseph GilmoreNational Securities CorporationFinancial Consultant Group, LLC12-23-2009
Louise Frances ColemanNational Securities CorporationFSC Securities Corporation$1001-11-2019
Stuart ConleyNational Securities CorporationFurther Lane Securities, L.P.02-28-2014
Harvey I SpiraNational Securities CorporationFurther Lane Securities, L.P.12-24-2013
Mai Nguyen BresnikNational Securities CorporationHalcyon Cabot Partners, Ltd.10-22-2015
George Joseph FiederleinNational Securities CorporationINVEST Financial Corporation12-16-2016
Marc Thomas De AngeloNational Securities CorporationInvestors Capital Corp.06-24-2016
Michael Robert DeangeloNational Securities CorporationInvestors Capital Corp.06-24-2016
Ryan Michael HansNational Securities CorporationInvestors Capital Corp.03-11-2013
Rick Alan DavidsonNational Securities CorporationJefferies LLC$2506-16-2017
Andrew Barry GrossmanNational Securities CorporationJHS Capital Advisors, LLC$1006-25-2015
Frank Louis Nargentino, Tracy Beth Cohen-Mcluckie, Edward Paul DeickeNational Securities CorporationJHS Capital Advisors, LLC$1006-24-2015
Ronald Joseph LargeNational Securities CorporationJohn Thomas Financial06-04-2013
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Showing 1 to 25 of 76 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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