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

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Adviser(s) Firm joining Firm leaving AUM ($M) Date
Kathleen Kemp SantosStrategic Advisers LLCAlt Fund Distributions LLC10-30-2017
Charles F. FowlerAtlantic TrustAltegris Investments02-24-2014
Kristina Joan GrafStrategic Advisers LLCAltegris Investments, LLC06-02-2017
Richard Ashley PelfreyMerrill Lynch, Pierce, Fenner & Smith IncorporatedAlternity Investment Advisors$2507-23-2012
Michael Allen BabcockB.B. Graham & Company, Inc.Alton Securities Group Inc.11-23-2015
Mark Gilbert WaltonM Holdings Securities, Inc.Alvarez & Marsal Securities, LLC$5006-24-2015
Eric Jose MarruffoMerrill Lynch, Pierce, Fenner & Smith IncorporatedAmerant Investments, Inc.03-16-2015
Jason Jitsuro YamamotoIndependent Financial Group, LLCAmerican Capital Partners, LLC$2504-15-2016
Joseph James Nicols IIILiberty Partners Financial Services, LLCAmerican Capital Partners, LLC01-28-2010
Khiem Thi Truong-Von GarvischMerrill Lynch, Pierce, Fenner & Smith IncorporatedAmerican Century Brokerage, Inc.02-26-2013
Kathy Pao-Fang ChangMerrill Lynch, Pierce, Fenner & Smith IncorporatedAmerican Century Investment Services Inc.01-27-2015
Cheryl Gaylene GastineauNorthwestern Mutual Investment Services, LLCAmerican Fidelity Securities, Inc.05-22-2014
Gregory James SabalaJ.P. Morgan Securities LLCAmerican Financial Network Advisory Services, LLC06-05-2019
Rohit Jiledar SinghHexeum CapitalAmerican Financial Network Advisory Services, LLC10-23-2018
Sebastian Michael HoppeLeumi Investment Services Inc.American Financial Network Advisory Services, LLC09-12-2017
Sandra Aida LassNYLIFE Securities LLCAmerican Funds Distributors, Inc.07-03-2018
Austin Albert LaneJ.P. Morgan Securities LLCAmerican Funds Distributors, Inc.06-20-2017
Jonathan Charles ProctorMercer Allied Company, L.P.American Funds Distributors, Inc.06-07-2013
Neal Thomas LeischWFG Investments, Inc.American General Financial Advisors, Inc.11-02-2009
John Joseph GlasgowAmeritas Investment Corp.American Independent Securities Group, LLC$5010-12-2015
Janice Michelle DunnRobert W. Baird & Co. IncorporatedAmerican Independent Securities Group, LLC01-15-2015
Grace Marie MilesLombard Securities IncorporatedAmerican Independent Securities Group, LLC01-09-2015
Sagar K ParikhSilber Bennett Financial, Inc.American Independent Securities Group, LLC01-11-2013
Gerard Barrett PerkinsIndependent Financial Group, LLCAmerican Independent Securities Group, LLC12-12-2011
Jessica Lee SchaferJ.P. King Advisors, Inc.American Investors Company07-27-2016
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Showing 201 to 225 of 15,971 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 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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