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
Dolf William Dunn IIILPL Financial LLCAmeriprise Financial Services, Inc.11-20-2009
Douglas Allen EmittePurshe Kaplan Sterling InvestmentsAmeriprise Financial Services, Inc.$5003-20-2013
Dustin George BuckLPL Financial LLCAmeriprise Financial Services, Inc.08-17-2015
Dwayne Masaaki ArakakiLPL Financial LLCAmeriprise Financial Services, Inc.07-26-2012
Eric Eugene SimmsGradient Capital Advisors, LLCAmeriprise Financial Services, Inc.01-23-2014
Eric Hans YeagerGradient Capital Advisors, LLCAmeriprise Financial Services, Inc.05-28-2015
Eric Hans YeagerGradient Capital AdvisorsAmeriprise Financial Services, Inc.$5505-26-2015
Erica Eileen LaMountainNorthwestern Mutual Investment Services, LLCAmeriprise Financial Services, Inc.01-29-2019
Erica Lynn ArroyoMA Private Wealth, LLCAmeriprise Financial Services, Inc.01-26-2018
Feng Kou ChenWaddell & ReedAmeriprise Financial Services, Inc.09-03-2015
Fred Giordan GrischottCity National Securities, Inc.Ameriprise Financial Services, Inc.03-23-2010
Gene Boyd ElliottBrio Financial GroupAmeriprise Financial Services, Inc.10-13-2017
George Allen Yackey Jr.SCF Securities, Inc.Ameriprise Financial Services, Inc.05-21-2019
George David FrauncesPlanMember Securities CorporationAmeriprise Financial Services, Inc.08-01-2018
Gilbert E. Gaeta-SymondsMerrill Lynch, Pierce, Fenner & Smith IncorporatedAmeriprise Financial Services, Inc.05-02-2017
Gregory Bennett TrostLPL Financial LLCAmeriprise Financial Services, Inc.$2501-22-2018
Gregory M. GiandaloneTD Ameritrade Investment Management, LLCAmeriprise Financial Services, Inc.06-14-2016
Gregory Marvene MorseWells Fargo Clearing Services, LLCAmeriprise Financial Services, Inc.$1001-22-2015
Gregory Paul HolmesWestern International Securities, Inc.Ameriprise Financial Services, Inc.$5012-04-2017
Gregory Warner RandallLPL Financial LLCAmeriprise Financial Services, Inc.12-18-2012
Guido CosenzaRaymond James Financial Services, Inc.Ameriprise Financial Services, Inc.02-19-2016
Hank Yeh WangMML Investors Services, LLCAmeriprise Financial Services, Inc.07-21-2017
Heath Burnett HaynesLPL Financial LLCAmeriprise Financial Services, Inc.$3711-05-2010
Irwin Gordon PersaudMorgan StanleyAmeriprise Financial Services, Inc.07-16-2015
Isaac Ellsworth HallsPlan FinancialAmeriprise Financial Services, Inc.11-01-2013
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Showing 51 to 75 of 189 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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