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
Anne Schumann BuckSecurities America, Inc.Securian Financial Services, Inc.04-22-2014
Frank Jeffrey LupuSecurities America, Inc.Edward Jones$2504-24-2014
Paul Andrew MelsonSecurities America, Inc.LPL Financial LLC$5005-01-2014
Neil Joseph FarrellSecurities America, Inc.Cadaret, Grant & Co., Inc.05-08-2014
Nicole Karin DavisonSecurities America, Inc.LPL Financial LLC05-09-2014
Thomas Patrick KerinsSecurities America, Inc.Manarin Securities Corporation05-19-2014
Debra Ann HendricksonSecurities America, Inc.Manarin Securities Corporation05-19-2014
Rita Carol BrutonSecurities America, Inc.Dalton Strategic Investment Services Inc.$2506-04-2014
Gwendolyn SlaterSecurities America, Inc.Dalton Strategic Investment Services Inc.06-04-2014
Daniel Matthew PaddenSecurities America, Inc.Dalton Strategic Investment Services Inc.06-04-2014
Craig Lee SmithSecurities America, Inc.Ameriprise Financial Services, Inc.06-06-2014
Harvey Alan BrodeSecurities America, Inc.Dalton Strategic Investment Services Inc.06-11-2014
Mark Allen DavisSecurities America, Inc.Haas Wealth Management Center LLC$3706-12-2014
Derek Robert ReadySecurities America, Inc.Ameriprise Financial Services, Inc.06-13-2014
Randy Duane TrumboSecurities America, Inc.Dalton Strategic Investment Services Inc.06-16-2014
Robert Brian JohnsonSecurities America, Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$5006-20-2014
Brian Thomas BrownSecurities America, Inc.First National Capital Markets06-30-2014
Leslie Benjamin GoldsteinSecurities America, Inc.Sigma Financial Corporation$10007-01-2014
Mark Eugene AbrahamSecurities America, Inc.WRP Investments, Inc.$2507-01-2014
Brad Elliot KiplingerSecurities America, Inc.LPL Financial LLC$10007-09-2014
Kathleen Ladra SteinbrecherSecurities America, Inc.LPL Financial LLC07-10-2014
Mark Steven WrobleskiSecurities America, Inc.Dalton Strategic Investment Services Inc.07-10-2014
Joseph Patrick HavansekSecurities America, Inc.Mutual of Omaha Investor Services, Inc.07-15-2014
Kelly Loyd McDermottSecurities America, Inc.LPL Financial LLC07-15-2014
Richard James HeubergerSecurities America, Inc.Sigma Financial Corporation$2507-18-2014
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Showing 326 to 350 of 1,233 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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