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
William John NiederauerSecurities America, Inc.National Planning Corporation10-23-2017
Donald Max BarronSecurities America, Inc.National Planning Corporation10-20-2017
Jonathan Matthew BradySecurities America, Inc.National Planning Corporation10-20-2017
Lisa Larochelle ScottSecurities America, Inc.National Planning Corporation$110-20-2017
Michael P. MccormickSecurities America, Inc.National Planning Corporation10-20-2017
Michael Stephen MyersSecurities America, Inc.SII Investments, Inc.$5010-20-2017
Natalie A JumpSecurities America, Inc.National Planning Corporation10-20-2017
Richard Michael GeorgeSecurities America, Inc.National Planning Corporation$2510-20-2017
Robert Allan HowerterSecurities America, Inc.National Planning Corporation10-20-2017
Roger Allen Pikul Jr.Securities America, Inc.National Planning Corporation$5010-20-2017
Sandeep Mangubhai PatelSecurities America, Inc.National Planning Corporation$5010-20-2017
Ty BongiovanniSecurities America, Inc.National Planning Corporation$110-20-2017
Braden E KlotzSecurities America, Inc.National Planning Corporation10-19-2017
Dustin AbelsSecurities America, Inc.SII Investments, Inc.10-19-2017
Irene Suet Lee-SluysSecurities America, Inc.Waddell & Reed10-19-2017
James Jason HerzogSecurities America, Inc.SII Investments, Inc.10-19-2017
Joel Howard WeberSecurities America, Inc.SII Investments, Inc.10-19-2017
Carole Ameila RaineySecurities America, Inc.National Planning Corporation$5010-18-2017
Jay Barrett BarclaySecurities America, Inc.National Planning Corporation$2510-18-2017
Joseph Frederick TarantinoSecurities America, Inc.National Planning Corporation$1010-18-2017
Joseph Thomas SlavitskasSecurities America, Inc.National Planning Corporation$1810-18-2017
Marc Steven StandigSecurities America, Inc.National Planning Corporation$110-18-2017
Robert Grahn TeneyckSecurities America, Inc.National Planning Corporation$5010-18-2017
Scott Alexander BrownSecurities America, Inc.National Planning Corporation$15010-18-2017
Steven Wayne CramSecurities America, Inc.SII Investments, Inc.10-18-2017
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Showing 326 to 350 of 1,321 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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