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


Adviser(s) Firm joining Firm leaving AUM ($M) Date
Kimberly Patrick BushPrincipal Securities, Inc.MetLife Securities Inc.05-13-2009
James Charles Morgan Jr.Principal Securities, Inc.Allstate Financial Services, LLC12-17-2009
Herman Bruce Towner Jr.Principal Securities, Inc.Park Avenue Securities LLC01-25-2011
Laura Cochran MickelsPrincipal Securities, Inc.Raymond James Financial Services Advisors, Inc02-27-2012
Neil A. KnierimPrincipal Securities, Inc.New England Securities05-09-2012
Charles Ernest Jackson Jr.Principal Securities, Inc.Park Avenue Securities LLC01-07-2013
Bettye Clements HaysPrincipal Securities, Inc.MetLife Securities Inc.12-11-2013
Darrell Randolph ManningPrincipal Securities, Inc.Waddell & Reed01-03-2014
Kris Alan PoseyPrincipal Securities, Inc.State Farm VP Management Corp.03-17-2014
Tracy Francine MoseleyPrincipal Securities, Inc.MetLife Securities Inc.04-10-2014
Charles Widenhouse AllenPrincipal Securities, Inc.MML Investors Services, LLC06-24-2014
Gregory W. GlynnPrincipal Securities, Inc.Next Financial Group, Inc.01-26-2015
Michael W. GaylePrincipal Securities, Inc.Sterne, Agee & Leach, Inc.04-01-2015
Jeffery Ames RileyPrincipal Securities, Inc.Charles Schwab & Co., Inc.$5008-27-2015
Richard C. AlexanderPrincipal Securities, Inc.NYLIFE Securities LLC06-20-2017
Tracy Francine MoseleyPrincipal Securities, Inc.Principal Securities, Inc.06-14-2018
Ernest Lee Smith Jr.Principal Securities, Inc.LPL Financial LLC05-16-2019
Mike Anthony PriestleyPrincipal Securities, Inc.MML Investors Services, LLC10-22-2019
Mittie E. BrownPrincipal Securities, Inc.MML Investors Services, LLC12-02-2019
Cherry Haney FishburnePrincipal Securities, Inc.The O.N. Equity Sales Company03-09-2020
Scott Aaron RichardsPrincipal Securities, Inc.Nationwide Securities, LLC06-30-2020

Showing 1 to 21 of 21 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.