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
Matthew AgeeSummit Brokerage ServicesAmeriprise Financial$3406-18-2010
David H. BryanSummit Brokerage ServicesAxa Advisors$5010-06-2014
Kathleen AlmullaSummit Brokerage ServicesBank of America Merrill Lynch$2911-09-2009
Kevin O'Malley, Ronald PhillipsSummit Brokerage ServicesCadaret Grant$6001-13-2011
Brion HarrisSummit Brokerage ServicesCambridge Investment Research$22510-16-2013
Michael FayedSummit Brokerage ServicesCapital Guardian$9309-09-2011
Jon BowlesSummit Brokerage ServicesCitigroup$3502-18-2010
Winston ChungSummit Brokerage ServicesCitigroup$4511-18-2009
Melissa ProffittSummit Brokerage ServicesCommerce Brokerage$5005-26-2011
John Nicolosi, Carl NicolosiSummit Brokerage ServicesCommonwealth Financial Network$10004-11-2011
Stephen Swensen, Philip SwensenSummit Brokerage ServicesCommonwealth Financial Network$3104-28-2010
Roland F. Smith, Joan SmithSummit Brokerage ServicesEagle Equities$5504-08-2015
James BaltzersenSummit Brokerage ServicesEdward Jones$5106-25-2012
Erik LundySummit Brokerage ServicesEdward Jones$7502-16-2010
David FolinoSummit Brokerage ServicesFirst Global Capital$12404-01-2011
James W. StorySummit Brokerage ServicesFirst Midwest Securities$6502-24-2014
Matthew PisaniSummit Brokerage ServicesGunn Allen Financial$202-18-2010
Herbert Allen, IIISummit Brokerage ServicesJ.W. Cole Financial$10001-23-2012
Kenneth Butterfield, Alex ButterfieldSummit Brokerage ServicesJames C. Butterfield$8202-05-2010
Marc G. LinskySummit Brokerage ServicesLincoln Financial$17010-21-2014
Phillip SalterSummit Brokerage ServicesLPL Financial$8406-02-2014
William SmallSummit Brokerage ServicesLPL Financial$2506-18-2010
D. Allen BlankenshipSummit Brokerage ServicesLPL Financial$1805-11-2010
Jeremy Swank, Barbara HustonSummit Brokerage ServicesLPL Financial$5802-18-2010
Richard HeagenSummit Brokerage ServicesLPL Financial$3002-18-2010
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Showing 1 to 25 of 56 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.


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