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
Lia Van De KrolWells Fargo Clearing Services, LLCAXA Advisors, LLC10-24-2018
Michael John LemarbreWells Fargo Clearing Services, LLCRaymond James & Associates, Inc.08-09-2018
Paula G. MoseleyWells Fargo Clearing Services, LLCTouchstone Securities, Inc.06-27-2018
Maury N. DavisWells Fargo Clearing Services, LLCMutual of America Securities LLC03-09-2018
Henry Hopkins NewtonWells Fargo Clearing Services, LLCEdward Jones01-12-2018
Patrick Leonard NeelWells Fargo Clearing Services, LLCEdward Jones01-25-2017
Rebecca Duckworth KernanWells Fargo Clearing Services, LLCStephens10-31-2016
Scott T. FarmerWells Fargo Clearing Services, LLCNationwide Securities, LLC10-04-2016
Gary Sidney JamesonWells Fargo Clearing Services, LLCUBS Financial Services Inc.$10009-09-2016
Anthony Arnall MorrisonWells Fargo Clearing Services, LLCRaymond James & Associates, Inc.$2807-27-2016
Nathan Lee TravisWells Fargo Clearing Services, LLCRaymond James & Associates, Inc.$2507-27-2016
Joseph Luis MartinezWells Fargo Clearing Services, LLCU.S. Bancorp Investments, Inc.$2806-15-2016
Andrew Johnson SutherlandWells Fargo Clearing Services, LLCRaymond James & Associates, Inc.$4301-25-2016
Gary Derond BakerWells Fargo Clearing Services, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$10011-25-2015
Christina Therrell SmithWells Fargo Clearing Services, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated11-25-2015
Kenneth E. Hayes Jr.Wells Fargo Clearing Services, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated11-19-2015
Kent Clyte MathisWells Fargo Clearing Services, LLCUBS Financial Services Inc.10-30-2015
Arnold Mark StrengthWells Fargo Clearing Services, LLCTransamerica Financial Advisors, Inc04-24-2015
Aimee A. GibsonWells Fargo Clearing Services, LLCJ.J.B. Hilliard, W.L. Lyons, LLC$10003-26-2015
Raymond John PonnathWells Fargo Clearing Services, LLCEdward Jones08-15-2014
Matthew V. PoteeteWells Fargo Clearing Services, LLCPrincipal Securities, Inc.12-11-2013
Mark Gerald BillionsWells Fargo Clearing Services, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$5008-08-2013
Sarah Katherine HowardWells Fargo Clearing Services, LLCSunTrust Investment Services, Inc.11-01-2012
Richard Clyde HastingsWells Fargo Clearing Services, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$10008-23-2012
Walter Eugene ShinaultWells Fargo Clearing Services, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated08-23-2012
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Showing 1 to 25 of 46 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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