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
Elissa Slovin KalverAmeriprise Financial Services, Inc.ADP Broker-Dealer, Inc.01-08-2014
Michael Christian GlombUBS Financial Services Inc.ADP Broker-Dealer, Inc.07-30-2012
Alexander Roger NyeChase Investment Services Corp.ADP Broker-Dealer, Inc.06-28-2010
Richard Alan CatiponMorgan StanleyAdvanced Equities, Inc.11-12-2012
John W KellyWells Fargo Clearing Services, LLCAdvanced Equities, Inc.02-17-2009
Taylor Robert SchulteDefine Financial, LLCAdvanced Practice Advisors, LLC05-02-2017
Gregory Ellison KorbInvestor Coach, LLCAdvanced Practice Advisors, LLC10-07-2014
Francisco Xavier MaldonadoWealth Analytics Partners, LLCAdvanced Wealth Planning06-02-2011
Richard Campbell Johnston Nott IIILourdMurrayAdvicePeriod, LLC03-24-2017
Chadwick Ryan CanineRSM US Wealth Management LLCAdvicePeriod, LLC11-03-2016
Erin Elizabeth MaciasLPL Financial LLCAdvisors Asset Management, Inc.01-31-2014
Jacob Cristobal ChaparroZenith Investment Management, LLCAdvisory Services Network05-31-2017
Seth J SpivackMorgan StanleyAegis Capital Corp.11-12-2015
Michael Howard HochstatWBB Securities, LLCAegis Capital Corp.06-30-2015
Jaime QuinteroAmerican Independent Securities Group, LLCAFA Financial Group, LLC06-07-2010
Jeffrey E HallSecurities America, Inc.AFA Financial Group, LLC05-21-2010
Barry I GoldsteinIndependent Financial Group, LLCAFA Financial Group, LLC05-20-2010
Orville Laverne Mccumber Jr.Independent Financial Group, LLCAFA Financial Group, LLC05-19-2010
Alexander Earl LessardIndependent Financial Group, LLCAFA Financial Group, LLC$105-05-2010
David James MartinAmerican Independent Securities Group, LLCAFA Financial Group, LLC$2505-03-2010
Erick BaerIndependent Financial Group, LLCAFA Financial Group, LLC05-01-2010
Bruce Phillips StoneIndependent Financial Group, LLCAFA Financial Group, LLC$5004-28-2010
Rodney Scott PalmerIndependent Financial Group, LLCAFA Financial Group, LLC04-27-2010
James Edward HarrisIndependent Financial Group, LLCAFA Financial Group, LLC$5004-26-2010
John Paul MazzaIndependent Financial Group, LLCAFA Financial Group, LLC04-26-2010
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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 InvestmentNews.com and can not be resold, republished, redistributed, sublicensed, or copied for any other use without the permission of InvestmentNews LLC.

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