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
Lisette Rene EhratRoyal Alliance Associates, Inc.Strategic Financial Services$10011-13-2009
Scott Keith EvansRoyal Alliance Associates, Inc.Avantax Investment Services, Inc.$10009-28-2011
Bradley Michael TinninRoyal Alliance Associates, Inc.Prudent Investor Services, Inc.$25011-10-2011
Terry Lee NordmeyerRoyal Alliance Associates, Inc.Independent Financial Group, LLC$10003-01-2012
Mary Geralyn SchaubRoyal Alliance Associates, Inc.Independent Financial Group, LLC05-01-2012
John Joseph Miklos Jr.Royal Alliance Associates, Inc.Independent Financial Group, LLC05-09-2012
Paul Herbert BogoslawRoyal Alliance Associates, Inc.Independent Financial Group, LLC05-30-2012
Janet Vinke SampsonRoyal Alliance Associates, Inc.Independent Financial Group, LLC05-30-2012
Maria Domenica DelreRoyal Alliance Associates, Inc.LaSalle St Securities, L.L.C.$50006-29-2012
Brian Curtis UllrichRoyal Alliance Associates, Inc.LPL Financial LLC08-28-2012
Les Dale HunzingerRoyal Alliance Associates, Inc.Ausdal Financial Partners, Inc.$50009-11-2013
Helen TorscherRoyal Alliance Associates, Inc.BMO Harris Financial Advisors, Inc.$25001-16-2014
Michael David RuffaloRoyal Alliance Associates, Inc.Independent Financial Group, LLC$10002-18-2014
Joseph Raymond TalbotRoyal Alliance Associates, Inc.LPL Financial LLC08-06-2014
James P. McQuaidRoyal Alliance Associates, Inc.JLTD Advisors, LLC01-13-2015
James D. McQuaidRoyal Alliance Associates, Inc.JLTD Advisors, LLC02-05-2015
Sean Patrick CraigRoyal Alliance Associates, Inc.First Midwest Securities, Inc.$50003-06-2015
Paul Christopher MaurinRoyal Alliance Associates, Inc.First Independent Advisory Services, Inc.11-12-2015
Scott Michael KoutskyRoyal Alliance Associates, Inc.First Independent Financial Services, Inc.11-13-2015
Kenneth M. PawulaRoyal Alliance Associates, Inc.SA Stone Wealth Management Inc.$10001-15-2016
Richard Stephen Lehocky Jr.Royal Alliance Associates, Inc.LPL Financial LLC$25004-29-2016
Matthew Alan KrajniakRoyal Alliance Associates, Inc.Waddell & Reed10-20-2016
Robert Francis WalshRoyal Alliance Associates, Inc.LPL Financial LLC$38003-22-2017
Matthew James BarberaRoyal Alliance Associates, Inc.LPL Financial LLC$10003-24-2017
Jonathan James HenkelsRoyal Alliance Associates, Inc.Horace Mann Investors, Inc.07-26-2019
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Showing 1 to 25 of 26 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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