Advisers on the Move TEST

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

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Adviser(s) Firm joining Firm leaving AUM ($M) Date
Kristen Kelly SmigelskiRegulus Advisors, LLCWoodbury Financial Services, Inc.09-23-2019
Adam W. FliehmanRegulus Advisors, LLCCetera Advisors LLC07-19-2019
Massimo PaoneRegulus Advisors, LLCAltrius Capital Management, Inc.04-23-2019
Christopher James HoxieRegulus Advisors, LLCBankers Life Securities, Inc.04-06-2019
Phillip Wayne OlneyRegulus Advisors, LLCWoodbury Financial Services, Inc.03-07-2019
Mark Benjamin GrootersRegulus Advisors, LLCSecurities America, Inc.03-05-2019
Retha Diane RishRegulus Advisors, LLCQuestar Capital Corporation02-12-2019
Matthew Edward HermanRegulus Advisors, LLCQuestar Asset Management, Inc.01-24-2019
Matthew Paul CourRegulus Advisors, LLCSecurities America, Inc.12-04-2018
James Ronald PilatRegulus Advisors, LLCLPL Financial LLC08-10-2018
Gregory James CrupiRegulus Advisors, LLCBankers Life Securities, Inc.05-23-2018
Alan E. TomanRegulus Advisors, LLCLincoln Financial Securities Corporation04-06-2018
David Dennis PetersRegulus Advisors, LLCArrow Investment Management, LLC04-03-2018
Douglas Stephen GarbanRegulus Advisors, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated01-18-2018
Richard John GriswoldRegulus Advisors, LLCCambridge Investment Research, Inc.01-18-2018
Louis Ralph PetrilloRegulus Advisors, LLCBoenning & Scattergood, Inc.01-11-2018
Stavros MoforisRegulus Advisors, LLCPrincipal Securities, Inc.10-05-2017
Jean Jacques PierreRegulus Advisors, LLCPrincipal Securities, Inc.09-26-2017
George EliasRegulus Advisors, LLCBrokers International Financial Services, LLC.09-01-2017
Heriberto De Leon Jr.Regulus Advisors, LLCForest Securities, Inc.06-26-2017
Aaron Christopher TiceRegulus Advisors, LLCProEquities, Inc.06-26-2017
Owen Durbin SwartRegulus Advisors, LLCForest Securities, Inc.06-20-2017
Joshua Robert HoganRegulus Advisors, LLCBankers Life Securities, Inc.06-15-2017
Benjamin Eric WestinRegulus Advisors, LLCMorgan Stanley05-09-2017
Paula Jean ReynoldsRegulus Advisors, LLCQuestar Capital Corporation02-28-2017
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Showing 1 to 25 of 74 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 InvestmentNews.com and can not be resold, republished, redistributed, sublicensed, or copied for any other use without the permission of InvestmentNews LLC.