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
Adam Andrew BelokNational Securities CorporationPrime Capital Services, Inc.11-22-2013
Alex Mark WeissmanNational Securities CorporationPrime Capital Services, Inc.11-22-2013
Alexander Peter FrederickNational Securities CorporationPrime Capital Services, Inc.11-22-2013
Andrew Barry GrossmanNational Securities CorporationJHS Capital Advisors, LLC$1006-25-2015
Anthony J VignierNational Securities CorporationPrime Capital Services, Inc.11-22-2013
Brian Todd CohenNational Securities CorporationQuest Capital Strategies, Inc.02-18-2009
Christopher Anthony JonesNational Securities CorporationCitigroup Global Markets Inc.04-13-2016
Ciro SanclementeNational Securities CorporationJohn Thomas Financial10-26-2010
Curtis Wayne RavenNational Securities CorporationAXA Advisors, LLC08-18-2014
Cynthia Lee ParrisNational Securities CorporationBrecek & Young Advisors, Inc.$1001-21-2009
Daniel Hyun Bum SoeNational Securities CorporationCetera Advisor Networks LLC02-25-2010
Daniel Jonathan GopenNational Securities CorporationPrime Capital Services, Inc.11-22-2013
David Lloyd FrankelNational Securities CorporationWells Fargo Advisors Financial Network, LLC10-10-2016
Deborah Ellen OconnellNational Securities CorporationPrime Capital Services, Inc.11-22-2013
Devorah R FinkelsteinNational Securities CorporationMorgan Stanley$10005-02-2019
Dianne Marie GoedtelNational Securities CorporationOppenheimer & Co. Inc.$4301-20-2017
Dominick Anthony CiociaNational Securities CorporationPrime Capital Services, Inc.11-22-2013
Edward Frances IrvinNational Securities CorporationObsidian Financial Group, LLC11-20-2012
Edward Francis Patrick Jr.National Securities CorporationOppenheimer & Co. Inc.$5006-23-2017
Eliyahu Eli MizrachiNational Securities CorporationMaxim Group LLC04-21-2014
Elizabeth Kendrick PeasleeNational Securities CorporationAdirondack Trading Group LLC05-06-2016
Felippe Teixeira AlvesNational Securities CorporationJohn Thomas Financial05-24-2013
Frank Louis Nargentino, Tracy Beth Cohen-Mcluckie, Edward Paul DeickeNational Securities CorporationJHS Capital Advisors, LLC$1006-24-2015
George John KarapistolisNational Securities CorporationAxiom Capital Management, Inc.$15003-29-2018
George Joseph FiederleinNational Securities CorporationINVEST Financial Corporation12-16-2016
Next Page »

Showing 1 to 25 of 75 entries

Page 1 | 2 | 3

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.


Hi! Glad you're here and we hope you like all the great work we do here at InvestmentNews. But what we do is expensive and is funded in part by our sponsors. So won't you show our sponsors a little love by whitelisting It'll help us continue to serve you.

Yes, show me how to whitelist

Ad blocker detected. Please whitelist us or give premium a try.