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
Eric G. Johnson, Brooks CollinsWells Fargo AdvisorsMorgan Stanley02-15-2019
Eric Galvin Johnson, Brooks Judson CollinsWells Fargo Clearing Services, LLCMorgan Stanley$5002-15-2019
Thomas Reed Avant Jr.Benjamin F. Edwards & Company, Inc.Morgan Stanley12-21-2018
Anne Carr BetheaLPL Financial LLCMorgan Stanley12-12-2018
Charles Benjamin ChapmanCetera Investment Services LLCMorgan Stanley$5004-20-2018
John Hamilton Pounds IIIWells Fargo Clearing Services, LLCMorgan Stanley$5006-28-2016
John Hamilton Pounds Jr.Wells Fargo Clearing Services, LLCMorgan Stanley$5006-28-2016
James Ellis Day IIIHighTower Securities, LLCMorgan Stanley$5006-24-2016
Rebecca Hardwich BakerUBS Financial Services Inc.Morgan Stanley04-22-2016
Gregory Bryant AlfordUBS Financial Services Inc.Morgan Stanley$10002-12-2016
Jason Allan SpiveyCetera Investment Services LLCMorgan Stanley01-21-2016
Andrew Michael ChapmanKeel Point Capital, LLCMorgan Stanley11-06-2015
Robert Eugene PetroWells Fargo Advisors Financial Network, LLCMorgan Stanley$5010-15-2015
Glenn Edward Brandon Jr.BB&T Securities, LLCMorgan Stanley$10009-25-2015
Alan Stuart WeintraubWells Fargo Clearing Services, LLCMorgan Stanley08-26-2015
Sheila Norton HaleMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley06-09-2015
Lisa Marie WisemanKeel Point Capital, LLCMorgan Stanley$2505-01-2015
Christopher R. SmithWells Fargo Clearing Services, LLCMorgan Stanley11-20-2014
Robert D. WarrenHighTower Securities, LLCMorgan Stanley07-25-2014
Matthew Lee LawingWells Fargo Clearing Services, LLCMorgan Stanley04-25-2014
Gary Michael GordonMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley$10002-21-2014
Laureen Hendry LynnWells Fargo Clearing Services, LLCMorgan Stanley$5001-24-2014
Michael McDermott Sr.Wells Fargo Clearing Services, LLCMorgan Stanley$2501-24-2014
Douglas Lawrence WhitmoreWells Fargo Clearing Services, LLCMorgan Stanley01-24-2014
Franklin Woodward ShepardStifel, Nicolaus & Company, IncorporatedMorgan Stanley$5001-07-2014
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Showing 1 to 25 of 57 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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