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
Sean M. O'BrienSecurities America, Inc.Financial Telesis Inc05-14-2013
Tracie Lynn BaizSecurities America, Inc.LPL Financial LLC05-21-2013
Randi Lynn SandersSecurities America, Inc.Morgan Stanley$5005-30-2013
Julia Brownlee MillerSecurities America, Inc.Morgan Stanley05-30-2013
Shannon J. Case, Mark J. SlatterySecurities America, Inc.SII Investments$13006-03-2013
Jody John OttoSecurities America, Inc.SII Investments, Inc.$10006-03-2013
Mark Joseph SlatterySecurities America, Inc.SII Investments, Inc.$10006-03-2013
Michael Marvin MuskeSecurities America, Inc.SII Investments, Inc.$5006-03-2013
Craig C. BallSecurities America, Inc.LPL Financial LLC06-03-2013
Carl Anthony MooreSecurities America, Inc.BB&T Securities, LLC06-19-2013
Carole Leah RomingerSecurities America, Inc.Wells Fargo Advisors Financial Network, LLC06-28-2013
Christian Uche ChukwumaSecurities America, Inc.Edward Jones$1008-08-2013
Anthony Timothy FrancisSecurities America, Inc.MML Investors Services, LLC09-03-2013
Bruce Rabe MeredithSecurities America, Inc.SagePoint Financial, Inc.09-19-2013
Wayne MaierSecurities America, Inc.National Planning$41409-20-2013
Martin Jackson TadmanSecurities America, Inc.LPL Financial LLC09-20-2013
Vernon Henry Moret Jr.Securities America, Inc.Wells Fargo Advisors Financial Network, LLC$2510-11-2013
Todd Andrew RoseSecurities America, Inc.MML Investors Services, LLC$10010-24-2013
Jc Christopher ParkerSecurities America, Inc.LPL Financial LLC11-01-2013
Judith Lohr MohrSecurities America, Inc.Householder Group Financial Advisors, LLC11-13-2013
Kathy M. KeadleSecurities America, Inc.Lincoln Financial$14011-14-2013
Andrew John EmkenSecurities America, Inc.Edward Jones12-03-2013
Liliane N. O'BrienSecurities America, Inc.LPL Financial LLC12-09-2013
Lawrence Eugene BrennerSecurities America, Inc.Smith Hayes Financial Services Corporation12-13-2013
Roger Jyhjung ChangSecurities America, Inc.Voya Financial Advisors, Inc.12-18-2013
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Showing 276 to 300 of 1,220 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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