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
Michael Joseph SchmitzRoyal Alliance Associates, Inc.Growth Capital Services, Inc.02-05-2009
Kevin Canfield HuntRoyal Alliance Associates, Inc.Retirement Plan Solutions$15005-07-2009
Rhonda Marie KerkhoffRoyal Alliance Associates, Inc.INVEST Financial Corporation07-01-2009
Brian S. BoffaRoyal Alliance Associates, Inc.SagePoint Financial, Inc.08-12-2009
Daniel Paul UeckerRoyal Alliance Associates, Inc.First Heartland Capital, Inc.09-15-2009
David James ReadRoyal Alliance Associates, Inc.Securities Service Network, LLC09-23-2009
William Brian ReadRoyal Alliance Associates, Inc.Securities Service Network, LLC09-23-2009
Scott Louis FacchettiRoyal Alliance Associates, Inc.Janney Montgomery Scott LLC09-25-2009
John Peter O'KeefeRoyal Alliance Associates, Inc.Edward Jones10-19-2009
Stephen Ray FosterRoyal Alliance Associates, Inc.Woodbury Financial Services, Inc.10-30-2009
Vincent D. SinohuiRoyal Alliance Associates, Inc.HD Vest Investment Services11-03-2009
Chris Alan EldredRoyal Alliance Associates, Inc.U.S. Bancorp Investments, Inc.11-06-2009
William Craig SplawnRoyal Alliance Associates, Inc.Woodbury Financial Services, Inc.11-30-2009
David Mark BiebelbergRoyal Alliance Associates, Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated01-15-2010
James Michael McCarthyRoyal Alliance Associates, Inc.Schooner Advisory Services01-19-2010
Charles Joseph WinningerRoyal Alliance Associates, Inc.Waddell & Reed$1001-29-2010
Earl Albert KetryRoyal Alliance Associates, Inc.Saperston Asset Management, Inc.$2502-19-2010
William James MarinelliRoyal Alliance Associates, Inc.NYLIFE Securities LLC03-09-2010
Dennis Joseph DaleRoyal Alliance Associates, Inc.Cetera Financial Specialists LLC03-10-2010
Denise G. SowellRoyal Alliance Associates, Inc.Nationwide Securities, LLC$1007-16-2010
Alston Hall KillenRoyal Alliance Associates, Inc.Nationwide Securities, LLC07-16-2010
Jerry Mark BernsteinRoyal Alliance Associates, Inc.Nationwide Securities, LLC$1007-30-2010
Henry Thomas SeegersRoyal Alliance Associates, Inc.Vanderbilt Securities, LLC$1008-06-2010
Dennis Paul ClarkRoyal Alliance Associates, Inc.Vanderbilt Securities, LLC08-06-2010
Aline Grace BowenRoyal Alliance Associates, Inc.Vanderbilt Securities, LLC08-06-2010
Next Page »

Showing 1 to 25 of 1,488 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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