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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Adviser(s) Firm joining Firm leaving AUM ($M) Date
Dean Brian BaumgartnerAW SecuritiesCambridge Investment Research, Inc.$2505-01-2019
Karl Patrik Orlowski1st Global Capital Corp.Triad Advisors LLC04-30-2019
Lindsay Ann FrazierXennial Planning LLCGWFS Equities, Inc04-29-2019
Sean M. O'BrienRaymond James Financial Services, Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$5004-26-2019
Michael Thomas PetersenWoodbury Financial Services, Inc.Questar Asset Management, Inc.$2504-26-2019
Jon Kelly HendersonLPL Financial LLCInfinex Investments, Inc.$10004-24-2019
Jenna L. SteinhauerFirst Republic Securities Company, LLCJ.P. Morgan Securities LLC04-24-2019
Melroy Savio AtkinsMorgan StanleyMerrill Lynch, Pierce, Fenner & Smith Incorporated$2504-24-2019
Daniel Joseph McFarlaneInternational Assets Advisory, LLCWestern International Securities, Inc.$2704-23-2019
Steven Charles LimLPL Financial LLCSorrento Pacific Financial, LLC$1004-22-2019
James Dean KerseyJ.W. Cole Financial, Inc.Global Financial Private Capital, LLC04-16-2019
Paolo O. QuirogaLPL Financial LLCEdward Jones04-16-2019
Perris Clayton KaufmanWestern International Securities, Inc.J.P. Morgan Securities LLC04-16-2019
Joseph Pierpont MorganCetera Advisor Networks LLCLPL Financial LLC$2504-15-2019
Russell A DoyleAmeriprise Financial Services, Inc.Wells Fargo Clearing Services, LLC$2504-12-2019
Yoil Sulieman AwabdehWells Fargo Clearing Services, LLC (Formerly Wells Fargo Advisors, LLC)Morgan Stanley$5004-12-2019
Jennifer B. MatthewsMcNaughton Wealth Management, LLCAmeriprise Financial Services, Inc.04-10-2019
Joseph John FontePlanMember Securities CorporationUnited Planners' Financial Services of America A Limited Partner04-09-2019
Alejandro BarriosWells Fargo Clearing Services, LLCJ.P. Morgan Securities LLC04-08-2019
Douglas Robert GundermannUnionBanc Investment Services, LLCU.S. Bancorp Investments, Inc.$5004-08-2019
Amar N. ShahClient First Capital, LLCUSAA Investment Management Company04-08-2019
Neil F LimcangcoAmeritas Investment Corp.Transamerica Financial Advisors, Inc04-05-2019
Lilia Rubalcava VacaUBS Financial Services Inc.Wells Fargo Clearing Services, LLC$104-03-2019
Leonard Emil Moulin IIISA Stone Wealth Management Inc.Cetera Advisor Networks LLC04-03-2019
Jena Elizabeth SchusterSA Stone Wealth Management Inc.Cetera Advisor Networks LLC$5004-01-2019
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Showing 76 to 100 of 15,944 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.

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