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
Susan Lynn EssesPrincipal Securities, Inc.Lincoln Financial Advisors Corporation01-21-2009
Scott Tracy HarrisPrincipal Securities, Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated02-09-2009
Victor S. YedidPrincipal Securities, Inc.MetLife Securities Inc.03-26-2009
Joseph Carlin FernandezPrincipal Securities, Inc.JOE Fernandez, CFP(R)04-29-2009
Kimberly Patrick BushPrincipal Securities, Inc.MetLife Securities Inc.05-13-2009
David Earl RatcliffePrincipal Securities, Inc.UBS Financial Services Inc.05-27-2009
James Herbert HoeflingerPrincipal Securities, Inc.Park Avenue Securities LLC$15006-09-2009
Bradley G. BrownPrincipal Securities, Inc.UBS Financial Services Inc.$10006-12-2009
Mathew David DriscollPrincipal Securities, Inc.LPL Financial LLC$10006-16-2009
Larry Dale WooldridgePrincipal Securities, Inc.Allstate Financial Services, LLC06-30-2009
Martha Maria FrantzPrincipal Securities, Inc.UBS Financial Services Inc.$1007-28-2009
Terry Leland VanwinklePrincipal Securities, Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated08-03-2009
Robert Jeffrey MeltzerPrincipal Securities, Inc.Stifel, Nicolaus & Company, Incorporated09-21-2009
Randy M. SeePrincipal Securities, Inc.State Farm VP Management Corp.09-22-2009
Richard Simon ZerahPrincipal Securities, Inc.Raymond James Financial Services, Inc.10-12-2009
Mark Charles HannaPrincipal Securities, Inc.LPL Financial LLC$15010-14-2009
Jonathan Mac LaffertyPrincipal Securities, Inc.MetLife Securities Inc.10-15-2009
Ara Jason KarianPrincipal Securities, Inc.United Planners' Financial Services of America A Limited Partner10-21-2009
Mark B AveryPrincipal Securities, Inc.MetLife Securities Inc.10-23-2009
Roger Jess MolliconePrincipal Securities, Inc.Brooklight Place Securities, Inc.11-06-2009
James Charles Morgan Jr.Principal Securities, Inc.Allstate Financial Services, LLC12-17-2009
Jeffery James WhitePrincipal Securities, Inc.Ameriprise Financial Services, Inc.01-05-2010
Gregory Charles BurgettPrincipal Securities, Inc.Robert W. Baird & Co. Incorporated$15002-09-2010
Christopher Garry FreemanPrincipal Securities, Inc.State Farm VP Management Corp.03-11-2010
Thomas Jefferson Pearson Jr.Principal Securities, Inc.New England Securities04-06-2010
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Showing 1 to 25 of 331 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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