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.

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Latest moves


Adviser(s) Firm joining Firm leaving AUM ($M) Date
Craig Timothy CharltonPrincipal Securities, Inc.Pruco Securities, LLC.01-16-2020
Rudolfo Mark Capobres IIIPrincipal Securities, Inc.The Strategic Financial Alliance, Inc.06-04-2019
Jason Edward RhodesPrincipal Securities, Inc.SagePoint Financial, Inc.$2503-13-2019
James R. McCannPrincipal Securities, Inc.Cetera Investment Services LLC07-08-2016
Paul Mark LantzPrincipal Securities, Inc.Waddell & Reed03-25-2016
David Samuel JohnsonPrincipal Securities, Inc.Quantum Technalysis Asset Management01-08-2016
Bryce Jonathan BergeyPrincipal Securities, Inc.Girard Partners Ltd.11-20-2015
Jeffrey Neal PeleshPrincipal Securities, Inc.LPL Financial LLC06-12-2015
Stacey Paulette SullivanPrincipal Securities, Inc.MetLife Securities Inc.09-02-2014
Paul Eugene KreischerPrincipal Securities, Inc.Principal Securities, Inc.11-05-2013
Akio Lawrence BleyPrincipal Securities, Inc.Mutual Service Corporation$2504-16-2009

Showing 1 to 11 of 11 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.