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
David James ReadRoyal Alliance Associates, Inc.Securities Service Network, LLC09-23-2009
William Brian ReadRoyal Alliance Associates, Inc.Securities Service Network, LLC09-23-2009
Earl Albert KetryRoyal Alliance Associates, Inc.Saperston Asset Management, Inc.$2502-19-2010
Denise G. SowellRoyal Alliance Associates, Inc.Nationwide Securities, LLC$1007-16-2010
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
Andrew Christian HollingsworthRoyal Alliance Associates, Inc.Vanderbilt Securities, LLC08-06-2010
Jeffrey James CannellaRoyal Alliance Associates, Inc.United Securities Alliance, Inc.09-22-2010
Nicholas AgnoneRoyal Alliance Associates, Inc.Investors Capital Corp.11-01-2010
Dolores B MitchellRoyal Alliance Associates, Inc.Allstate Financial Services, LLC11-01-2010
Eric Ross TaitzRoyal Alliance Associates, Inc.Morgan Stanley11-19-2010
Dana Loraine DavisRoyal Alliance Associates, Inc.United Securities Alliance, Inc.01-10-2011
Joseph William BarnettRoyal Alliance Associates, Inc.Securities America, Inc.07-21-2011
Henry Jay GuzzoRoyal Alliance Associates, Inc.Cetera Advisors LLC10-14-2011
Kennedy Daniel CrossanRoyal Alliance Associates, Inc.MetLife Securities Inc.$2510-27-2011
Lori Anne GlennonRoyal Alliance Associates, Inc.M. Griffith Investment Services Inc.$5001-06-2012
Jeffrey Allen WestRoyal Alliance Associates, Inc.Vicus Capital, Inc.$5010-12-2012
Steven Paul FetterhoffRoyal Alliance Associates, Inc.Vicus Capital, Inc.$2510-12-2012
Jon Evan SchlueterRoyal Alliance Associates, Inc.HD Vest Investment Services10-25-2012
Chantal B. McFallRoyal Alliance Associates, Inc.Veritrust Financial, LLC11-15-2012
Matthew Thomas HanshawRoyal Alliance Associates, Inc.National Planning Corporation$10011-16-2012
David Kendall ShepardRoyal Alliance Associates, Inc.Asset Strategy Advisors, LLC11-16-2012
Alfred Carmen VaranoRoyal Alliance Associates, Inc.National Planning Corporation11-16-2012
Next Page »

Showing 1 to 25 of 147 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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