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

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Adviser(s) Firm joining Firm leaving AUM ($M) Date
Robert Eugene YoungCambridge Investment Research, Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$3705-09-2016
Gregory Lee BakerCambridge Investment Research, Inc.CRI Securities, LLC05-06-2016
Nestor Ruben MontoyaCambridge Investment Research, Inc.TIAA-CREF Individual & Institutional Services, LLC04-07-2016
Jason Sebastian ColeCambridge Investment Research, Inc.SagePoint Financial, Inc.03-08-2016
Michael E. BivensCambridge Investment Research, Inc.Northwestern Mutual Investment Services, LLC09-01-2015
Shanna Joelle TingomCambridge Investment Research, Inc.Edward Jones04-17-2015
Richard Alan BreyerCambridge Investment Research, Inc.Independent Financial Group, LLC$5001-02-2014
Robert L PolleyCambridge Investment Research, Inc.Mutual of Omaha Investor Services, Inc.05-10-2013
Jennifer Lightcap JohnsonCambridge Investment Research, Inc.PlanMember Securities Corporation01-17-2013
Susan Marie HiltonCambridge Investment Research, Inc.Principal Securities, Inc.11-11-2011
Scott L. BerganCambridge Investment Research, Inc.Geneos Wealth Management, Inc.$2510-17-2011
Margaret Deborah BerganCambridge Investment Research, Inc.Geneos Wealth Management, Inc.10-17-2011
Christopher Milo DeanCambridge Investment Research, Inc.Arque Capital, Ltd.08-16-2010
Larry Randolph ScottCambridge Investment Research, Inc.VALIC Financial Advisors, Inc.01-08-2010
Stephanie Marie MayoralCambridge Investment Research, Inc.Chase Investment Services Corp.01-03-2010
Kimberlie J. SonnenbergCambridge Investment Research, Inc.VALIC Financial Advisors, Inc.08-10-2009
Joseph Kareem MillerCambridge Investment Research, Inc.VALIC Financial Advisors, Inc.$2507-01-2009
George Andrew Henry ArkyCambridge Investment Research, Inc.VALIC Financial Advisors, Inc.07-01-2009
Steven D. McIntyreCapital AnalystsWells Fargo Clearing Services, LLC11-06-2014
Justin Laurence CairnsCapital Wealth AllianceRaymond James & Associates, Inc.10-01-2018
Charles Steven SeraCatalina Wealth Partners, LLCYELLOWSTONE PARTNERS07-10-2018
Patrick J. MooreCBK Financial Advisors LLCFuture Bright02-23-2018
Randall Kenneth HuntimerCentaurus Financial, Inc.Geneos Wealth Management, Inc.07-24-2018
William James EgnorCentaurus Financial, Inc.Ameritas Investment Corp.08-15-2017
Steven Lamar NielsenCentaurus Financial, Inc.DFPG Investments, Inc.08-07-2017
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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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