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
Rick Floyd LeachPrincipal Securities, Inc.UBS Financial Services Inc.$10005-27-2009
David Earl RatcliffePrincipal Securities, Inc.UBS Financial Services Inc.$10005-27-2009
Thomas Brandon WashamPrincipal Securities, Inc.UBS Financial Services Inc.$10006-01-2009
Randy M. SeePrincipal Securities, Inc.State Farm VP Management Corp.09-22-2009
Robert B HigginsPrincipal Securities, Inc.Raymond James Financial Services, Inc.$25012-07-2009
Scott Joseph LordPrincipal Securities, Inc.New England Securities12-21-2010
Gary Reid ClementsonPrincipal Securities, Inc.Edward Jones04-06-2011
Michael Alan PfauthPrincipal Securities, Inc.Signator Investors, Inc.09-01-2011
Byron Coleman Hornaday Sr.Principal Securities, Inc.MWA Financial Services Inc.10-31-2011
Kerolous N. BotrosPrincipal Securities, Inc.CapFinancial Securities, LLC.11-14-2011
Gregory Frank GianfortonePrincipal Securities, Inc.Edward Jones11-16-2011
Charles David Roberts Jr.Principal Securities, Inc.Woodbury Financial Services, Inc.01-25-2012
Timothy Douglas HintonPrincipal Securities, Inc.Edward Jones$10004-20-2012
Robin Frederick OlesPrincipal Securities, Inc.Wells Fargo Clearing Services, LLC (Formerly Wells Fargo Advisors, LLC)$10008-08-2012
Byron WhatleyPrincipal Securities, Inc.MetLife Securities Inc.09-17-2012
Robert Everett FerrisPrincipal Securities, Inc.SunTrust Investment Services, Inc.09-17-2012
Jimmy LuongPrincipal Securities, Inc.Edward Jones05-01-2013
Frank Edward BluePrincipal Securities, Inc.NYLIFE Securities LLC06-03-2013
Wayne Wayne JohnsonPrincipal Securities, Inc.NYLIFE Securities LLC11-05-2013
John Newton Holding IIIPrincipal Securities, Inc.Hornor, Townsend & Kent, LLC03-25-2014
Rick Arthur JacksonPrincipal Securities, Inc.Ameriprise Financial Services, Inc.$10006-18-2014
Michael C PalczukPrincipal Securities, Inc.New England Securities$10006-19-2014
Christopher R WhitesidePrincipal Securities, Inc.New England Securities06-25-2014
Charles Alan CrewsPrincipal Securities, Inc.Ameriprise Financial Services, Inc.$25007-02-2014
Kevin Anthony HarperPrincipal Securities, Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated08-04-2014
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Showing 1 to 25 of 68 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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