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
Jonathan Edward OsterkampLPL Financial LLCAmeriprise Financial Services, Inc.$1001-02-2009
Joseph Kevin CroninPruco Securities, LLC.Ameriprise Financial Services, Inc.08-03-2009
Lee Kim BrownFirst Financial Equity CorporationAmeriprise Financial Services, Inc.$2501-25-2010
Ronald William WeddleFirst Financial Equity CorporationAmeriprise Financial Services, Inc.02-04-2010
Lloyd Thomas ChurchRaymond James Financial Services, Inc.Ameriprise Financial Services, Inc.03-04-2010
Zoe Rebekah AlexanderLPL Financial LLCAmeriprise Financial Services, Inc.06-03-2010
Sandra Kay ThompsonSagePoint Financial, Inc.Ameriprise Financial Services, Inc.12-17-2010
Roger Dennis WoodCommonwealth Financial NetworkAmeriprise Financial Services, Inc.$5005-06-2011
Robert Larry BurnsUBS Financial Services Inc.Ameriprise Financial Services, Inc.$2511-16-2011
John M. Cartolano Jr.LPL Financial LLCAmeriprise Financial Services, Inc.$20009-26-2013
John Michael Cartolano Jr.LPL Financial LLCAmeriprise Financial Services, Inc.$5009-26-2013
Russell A AndrewsFirst Financial Equity CorporationAmeriprise Financial Services, Inc.$2504-13-2015
Brian Jack, Matt FigueroaPinnacle Peak AdvisorsAmeriprise Financial Services, Inc.$20002-01-2016
Kimberly Lynn HerreraBBVA Securities Inc.Ameriprise Financial Services, Inc.$5006-16-2016
James LesniewskiLPL Financial LLCAmeriprise Financial Services, Inc.$6009-30-2016
Lesley Marshall VanborssumCambridge Investment Research, Inc.Ameriprise Financial Services, Inc.07-24-2017
Matthew James DunphyFinancial Engines Advisors L.L.C.Ameriprise Financial Services, Inc.09-20-2017
Stephen Richard SearleEvergreen Investment Management, LLCAmeriprise Financial Services, Inc.12-13-2017
Betty Jean ConnorsMoors & Cabot, Inc.Ameriprise Financial Services, Inc.$4901-16-2018
Michael Adolph FedericoFirst Financial Equity CorporationAmeriprise Financial Services, Inc.02-16-2018
Steven A SchulmanMoney Concepts Capital CorpAmeriprise Financial Services, Inc.$10005-03-2018
Andrew Dale GaberLPL Financial LLCAmeriprise Financial Services, Inc.08-30-2018
Brent Lee WulbrechtSchwab Private Client Investment Advisory, Inc.Ameriprise Financial Services, Inc.01-16-2019
Robert Soren LarsenClient One Securities LLCAmeriprise Financial Services, Inc.$2504-01-2019
Martial Camille MartinoniLPL Financial LLCAmeriprise Financial Services, Inc.$9504-25-2019
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Showing 1 to 25 of 31 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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