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
Joseph Lawrence TauntRegulus Advisors, LLCSagePoint Financial, Inc.$15010-13-2009
Robin C CleggRegulus Advisors, LLCAmerican Portfolios Financial Services, Inc.10-27-2014
Robert Emil PeltzRegulus Advisors, LLCAmerican Portfolios Financial Services, Inc.11-06-2014
Daniel Glenn LowndsRegulus Advisors, LLCAmerican Portfolios Financial Services, Inc.11-27-2014
Russell Mckinley WicksallRegulus Advisors, LLCAmerican Portfolios Financial Services, Inc.01-02-2015
Thomas A KishRegulus Advisors, LLCAmerican Portfolios Financial Services, Inc.$5001-02-2015
Kyle Joseph WatkinsRegulus Advisors, LLCEdward Jones06-16-2016
John James Goulooze JrRegulus Advisors, LLCFifth Third Securities, Inc.08-03-2016
Christopher Robert EmdeRegulus Advisors, LLCGregory J. Schwartz & Co., Inc.$10009-16-2016
Benjamin Eric WestinRegulus Advisors, LLCMorgan Stanley05-09-2017
James Patrick WhiteRegulus Advisors, LLCFifth Third Securities, Inc.$10009-07-2018
Robert Allan Palma JrRegulus Advisors, LLCCapital Analysts$2506-06-2019
Adam W FliehmanRegulus Advisors, LLCCetera Advisors LLC07-19-2019
Spencer Garrett LademanRegulus Advisors, LLCW&S Brokerage Services, Inc.01-16-2020

Showing 1 to 14 of 14 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.