Advisers on the Move TEST

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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Adviser(s) Firm joining Firm leaving AUM ($M) Date
Jose A. Rivera Jr.W&S Brokerage Services, Inc.Pruco Securities, LLC.01-22-2020
Ho Young LeeFinancial Engines Advisors L.L.C.Edward Jones01-22-2020
Christian MasariegoTD Ameritrade Investment Management, LLCBancWest Investment Services, Inc.01-22-2020
James Henry MoorePrivate Capital Management, Inc.Private Capital Management, Inc.01-22-2020
David BensoussanGray Swan Asset Management Inc.Gray Swan Asset Management Inc.01-22-2020
Gregory Scott SmithUBS Financial Services Inc.Morgan Stanley$10001-22-2020
Jennifer Marie SmithUBS Financial Services Inc.Morgan Stanley$2501-22-2020
Tyson Charles EckelJ.P. Morgan Securities LLCWells Fargo Clearing Services, LLC01-21-2020
Sarah Heegaard RushLincoln Financial Advisors CorporationWells Fargo Clearing Services, LLC01-21-2020
Joey M. OlivasFarmers Financial Solutions, LLCFarmers Financial Solutions, LLC01-21-2020
Ozair AlefiMorgan StanleyWells Fargo Clearing Services, LLC$5001-21-2020
Richard James GrohCharles Schwab & Co., Inc.Alight Financial Solutions, LLC01-17-2020
Roderic Lamarr Smith Sr.Raymond James Financial Services, Inc.Wells Fargo Clearing Services, LLC$1,00001-17-2020
Kenneth William Newberry IIRaymond James Financial Services, Inc.Waddell & Reed$10001-17-2020
David Ray ColleyRaymond James Financial Services, Inc.Waddell & Reed$5001-17-2020
David Alan TamashiroRaymond James Financial Services, Inc.Waddell & Reed01-17-2020
James Peter Mills-WinklerRaymond James Financial Services, Inc.Waddell & Reed$1001-17-2020
Deana Jean DyjorRaymond James Financial Services, Inc.Waddell & Reed01-17-2020
Dane C.B.K.H. GambillRaymond James Financial Services, Inc.Waddell & Reed01-17-2020
Don Adrian VenturaSagePoint Financial, Inc.Independent Capital Management$801-17-2020
Marissa Abueg TanPFS Investments Inc.PFS Investments Inc.01-17-2020
Joaquia Lashell EasterPFS Investments Inc.PFS Investments Inc.01-17-2020
David Paul NeeveOne Wealth Advisors, LLCUBS Financial Services Inc.$5001-17-2020
Jason Martin SchlesingerUBS Financial Services Inc.Robert W. Baird & Co. Incorporated$10001-17-2020
Jason Stephen CheuUBS Financial Services Inc.Robert W. Baird & Co. Incorporated$15001-17-2020
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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.