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

Results filtered by


Adviser(s) Firm joining Firm leaving AUM ($M) Date
Christopher David PuzioLPL Financial LLCAmeriprise Financial Services, Inc.06-01-2016
Kay-Anne Chan ImperialWaddell & ReedAmeriprise Financial Services, Inc.05-26-2016
Shirley Co TanLake Avenue Financial, LLCAmeriprise Financial Services, Inc.05-11-2016
Kostantina Dimitrova BourdevMerrill Lynch, Pierce, Fenner & Smith IncorporatedAmeriprise Financial Services, Inc.03-08-2016
Guido CosenzaRaymond James Financial Services, Inc.Ameriprise Financial Services, Inc.02-19-2016
Todd Lance DreyerSecurian Financial Services, Inc.Ameriprise Financial Services, Inc.$7202-17-2016
Victor Emmanuel PortilloUnionBanc Investment Services, LLCAmeriprise Financial Services, Inc.02-04-2016
Alexander Jonathan VoilsWells Fargo Clearing Services, LLCAmeriprise Financial Services, Inc.$2512-18-2015
Kevin Kingsley HolmesWaddell & ReedAmeriprise Financial Services, Inc.12-16-2015
Robert Scott CrowellJ.P. Morgan Securities LLCAmeriprise Financial Services, Inc.11-10-2015
Barry CraineWaddell & ReedAmeriprise Financial Services, Inc.$15010-30-2015
Rick J WertheimIndependent Financial Group, LLCAmeriprise Financial Services, Inc.$110-29-2015
William F Daines IIIPrincipal Securities, Inc.Ameriprise Financial Services, Inc.10-16-2015
Richard J TribianoUBS Financial Services Inc.Ameriprise Financial Services, Inc.10-13-2015
Jordan Paul KorengoldMerrill Lynch, Pierce, Fenner & Smith IncorporatedAmeriprise Financial Services, Inc.10-12-2015
Clarence Lamar Simpson Jr.LPL Financial LLCAmeriprise Financial Services, Inc.$5009-22-2015
Courtney Elizabeth MchargLPL Financial LLCAmeriprise Financial Services, Inc.09-21-2015
Jonathan David FormicaLPL Financial LLCAmeriprise Financial Services, Inc.09-21-2015
Feng Kou ChenWaddell & ReedAmeriprise Financial Services, Inc.09-03-2015
Timothy George GarnerMetLife Securities Inc.Ameriprise Financial Services, Inc.08-21-2015
Nain Jael PerezMerrill Lynch, Pierce, Fenner & Smith IncorporatedAmeriprise Financial Services, Inc.08-20-2015
Dustin George Delauer BuckLPL Financial LLCAmeriprise Financial Services, Inc.08-17-2015
Irwin Gordon PersaudMorgan StanleyAmeriprise Financial Services, Inc.07-16-2015
Michael Anthony PersaudMorgan StanleyAmeriprise Financial Services, Inc.07-16-2015
Cao Tri TranLPL Financial LLCAmeriprise Financial Services, Inc.06-26-2015
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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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