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
Thomas McDonaldPrincipal Securities, Inc.Farmers Financial Solutions, LLC07-01-2019
Joaquin Steve SerranoPrincipal Securities, Inc.PROGRESS WEALTH ADVISORS06-03-2019
Sharon Kaye JansmaPrincipal Securities, Inc.Farmers Financial Solutions, LLC05-02-2019
Michael P BarackmanPrincipal Securities, Inc.Securian Financial Services, Inc.01-16-2019
Jamie C. DavisPrincipal Securities, Inc.LPL Financial LLC$10009-04-2018
Brandon David UttichPrincipal Securities, Inc.Mutual of Omaha Investor Services, Inc.08-31-2018
Felipe A. ArballoPrincipal Securities, Inc.MML Investors Services, LLC06-01-2018
Amit Ravin PatelPrincipal Securities, Inc.Morgan Stanley05-01-2018
Uri Daniel TrippPrincipal Securities, Inc.UnionBanc Investment Services, LLC01-03-2018
Rupert Baliola Gregorio Jr.Principal Securities, Inc.UnionBanc Investment Services, LLC$6901-10-2017
Ryan Edward HeidrichPrincipal Securities, Inc.Waddell & Reed$24910-07-2016
Manuel J. Provedor Jr.Principal Securities, Inc.Edward Jones$10007-18-2016
Blair Allan JamiesonPrincipal Securities, Inc.UnionBanc Investment Services, LLC06-16-2016
John C. PetersonPrincipal Securities, Inc.AXA Advisors, LLC06-14-2016
William F. Daines IIIPrincipal Securities, Inc.Ameriprise Financial Services, Inc.10-16-2015
Raymond Allen LeonardPrincipal Securities, Inc.J.P. Morgan Securities LLC08-31-2015
Chris Lavelle JohnsonPrincipal Securities, Inc.Edward Jones05-29-2015
Howard Robert GorbachPrincipal Securities, Inc.Lincoln Financial Securities Corporation03-03-2015
Vu Hoang ChauPrincipal Securities, Inc.Morgan Stanley09-02-2014
Shahir HannaPrincipal Securities, Inc.NYLIFE Securities LLC04-01-2014
Brian Douglas SelfPrincipal Securities, Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$2502-18-2014
Igor Santana FerreiraPrincipal Securities, Inc.HD Vest Investment Services10-15-2013
Jonathon Andrew RothPrincipal Securities, Inc.ProEquities, Inc.09-03-2013
Justin Lee BoydPrincipal Securities, Inc.U.S. Bancorp Investments, Inc.07-30-2013
Steven Michael CannatellaPrincipal Securities, Inc.NYLIFE Securities LLC06-08-2012
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Showing 1 to 25 of 33 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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