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

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Adviser(s) Firm joining Firm leaving AUM ($M) Date
Robert Lloyd KnousSecurities America, Inc.Sunset Financial Services, Inc.11-14-2014
Vincent Justin AshleySecurities America, Inc.Sunset Financial Services, Inc.11-14-2014
Robert Richard SchrothSecurities America, Inc.Sunset Financial Services, Inc.11-14-2014
Lawrence Irvine FrenchSecurities America, Inc.Sunset Financial Services, Inc.11-14-2014
Thomas Winfield SteeleSecurities America, Inc.Vicus Capital, Inc.11-17-2014
Cody Siebert, Ronald Briggs, Shawn Loring, James KlodoskySecurities America, Inc.First Global Capital$13911-24-2014
James Richard KlodoskySecurities America, Inc.1st Global Capital Corp.$2511-24-2014
Cody Laura SiebertSecurities America, Inc.1st Global Capital Corp.$1011-24-2014
Ronald Lee BriggsSecurities America, Inc.1st Global Capital Corp.11-24-2014
Connie Ann Van OrnumSecurities America, Inc.Voya Financial Advisors, Inc.11-28-2014
Karen Denise LongoSecurities America, Inc.Verus Capital Partners, LLC11-28-2014
Thomas Patrick CarrollSecurities America, Inc.LPL Financial LLC12-01-2014
Nicola S. NicholSecurities America, Inc.Equity Services, Inc.12-01-2014
David Wofford BoganSecurities America, Inc.Hilltop Securities Independent Network Inc.12-08-2014
Michael Patrick GarciaSecurities America, Inc.Hilltop Securities Independent Network Inc.12-08-2014
Patrick Charles GorkowSecurities America, Inc.Voya Financial Advisors, Inc.12-10-2014
Lanny Keith MarksSecurities America, Inc.Newbridge Securities Corporation12-11-2014
Jason Benjamin DowSecurities America, Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated12-11-2014
Robert Craig FindleySecurities America, Inc.Smith Hayes Financial Services Corporation12-12-2014
Julian Pollard Sanderson Jr.Securities America, Inc.Hornor, Townsend & Kent, LLC12-16-2014
Heather J. BrownSecurities America, Inc.SagePoint Financial, Inc.12-16-2014
Colleen Mary OshaughnessySecurities America, Inc.MetLife Securities Inc.12-19-2014
Michael Robert ReeseSecurities America, Inc.Brokers International Financial Services, LLC.12-24-2014
Louis Numa Decuir IIISecurities America, Inc.Waddell & Reed12-24-2014
Stracy Darrin ChathamSecurities America, Inc.Raymond James Financial Services, Inc.12-26-2014
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Showing 426 to 450 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 InvestmentNews.com and can not be resold, republished, redistributed, sublicensed, or copied for any other use without the permission of InvestmentNews LLC.

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