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
David Craig SchiavoPrincipal Securities, Inc.Summit Brokerage Services, Inc.06-12-2019
Charles Todd GreenblottPrincipal Securities, Inc.Pruco Securities, LLC.$15002-19-2019
Shannon Colleen Pisani GreenblottPrincipal Securities, Inc.Pruco Securities, LLC.02-19-2019
Lori Suzanne NadglowskiPrincipal Securities, Inc.Independent Financial Partners$1,00011-30-2018
Harold Green McIntosh Jr.Principal Securities, Inc.Park Avenue Securities LLC$5002-20-2018
Stephen Martin Foley Sr.Principal Securities, Inc.MML Investors Services, LLC$5002-12-2018
James Richard KistPrincipal Securities, Inc.MML Investors Services, LLC02-21-2017
Michael E. ShaverPrincipal Securities, Inc.Oppenheimer & Co. Inc.12-07-2016
Frederick Andrew Vimond Sr.Principal Securities, Inc.Voya Financial Advisors, Inc.10-13-2016
James Ralph Pappas IIIPrincipal Securities, Inc.MetLife Securities Inc.08-02-2016
Lawrence Carl SchallesPrincipal Securities, Inc.Voya Financial Advisors, Inc.12-22-2015
Lawrence Donald SmithPrincipal Securities, Inc.Transamerica Financial Advisors, Inc09-03-2015
Kevin Charles CollignonPrincipal Securities, Inc.Royal Alliance Associates, Inc.07-31-2015
Antonio Jose PradoPrincipal Securities, Inc.Securian Financial Services, Inc.04-27-2015
Michael LynchPrincipal Securities, Inc.MetLife Securities Inc.12-22-2014
Richard Hunter IIIPrincipal Securities, Inc.Park Avenue Securities LLC12-01-2014
Isidro Genovevo HuertaPrincipal Securities, Inc.MetLife Securities Inc.$10009-11-2014
Eric Brian TruvillionPrincipal Securities, Inc.New England Securities07-23-2014
Alonzo Felton Barnes Jr.Principal Securities, Inc.New England Securities05-27-2014
Erika F. KamPrincipal Securities, Inc.Hapoalim Securities USA, Inc.04-30-2014
Keith Anthony GroesbeckPrincipal Securities, Inc.New England Securities02-20-2014
Sagen Richard AugustinPrincipal Securities, Inc.New England Securities02-19-2014
William Joel Patrick MannixPrincipal Securities, Inc.New England Securities02-18-2014
Karl Tariq LunneyPrincipal Securities, Inc.New England Securities02-18-2014
Robert Brian FabrizioPrincipal Securities, Inc.New England Securities02-18-2014
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Showing 1 to 25 of 37 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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