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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Adviser(s) Firm joining Firm leaving AUM ($M) Date
Edward Lynn WilliamsSecurities America, Inc.Mutual of Omaha Investor Services, Inc.$5003-02-2020
Viviana BigolinSecurities America, Inc.BancWest Investment Services, Inc.02-24-2020
Mark John FaberSecurities America, Inc.LPL Financial LLC$9812-18-2019
Brian Edward OrrSecurities America, Inc.Bankers Life Securities, Inc.12-15-2019
Adam Howard MosbachSecurities America, Inc.M. S. Howells & Co.12-06-2019
Francisco Jose TortSecurities America, Inc.Morgan Stanley$5005-03-2019
Francisco Enrique SaenzSecurities America, Inc.USAA Investment Management Company04-02-2019
Timothy J. GishSecurities America, Inc.Questar Capital Corporation01-23-2019
Frank John CaliseSecurities America, Inc.Questar Capital Corporation12-26-2018
Edward Henry RodriguezSecurities America, Inc.Questar Capital Corporation12-26-2018
Thomas Donald BenscoterSecurities America, Inc.Questar Capital Corporation12-26-2018
Lee Clark Brown IIISecurities America, Inc.LPL Financial LLC$5008-28-2018
Kristina K DahlSecurities America, Inc.Waddell & Reed04-23-2018
Thomas Russell BugbeeSecurities America, Inc.ProEquities, Inc.04-13-2018
James Alan WaltersSecurities America, Inc.Lincoln Financial Advisors Corporation02-13-2018
Ann Brogan MartinSecurities America, Inc.J. W. Cole Advisors, Inc.01-29-2018
Timothy John HollySecurities America, Inc.INVEST Financial Corporation$2512-01-2017
Owen Keith FarnsworthSecurities America, Inc.LPL Financial LLC10-11-2017
Anna Maria JohnsonSecurities America, Inc.LPL Financial LLC$1910-10-2017
James Peter NorwoodSecurities America, Inc.LPL Financial LLC10-10-2017
Sheila D. HansenSecurities America, Inc.LPL Financial LLC$5010-10-2017
Anthony Theodore RochaSecurities America, Inc.LPL Financial LLC$2510-10-2017
Phillip Paul KrznarichSecurities America, Inc.LPL Financial LLC$1010-10-2017
James Alan MerkelSecurities America, Inc.LPL Financial LLC$1010-10-2017
Tedd Alfred BellSecurities America, Inc.LPL Financial LLC10-10-2017
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Showing 1 to 25 of 43 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.