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


Adviser(s) Firm joining Firm leaving AUM ($M) Date
John L. BabautaRaymond James Financial Services, Inc.Cetera Investment Services LLC04-13-2020
George LyLPL Financial LLCCetera Investment Services LLC$1301-09-2020
Jacqueline Hsu WangJ.P. Morgan Securities LLCCetera Investment Services LLC10-07-2019
Trevor Moore JohnsonLPL Financial LLCCetera Investment Services LLC$2509-27-2019
Beatrice Racquel CarrilloLPL Financial LLCCetera Investment Services LLC$1009-27-2019
Kamal Vikus PillayLPL Financial LLCCetera Investment Services LLC09-27-2019
Cheston Michael ChengLPL Financial LLCCetera Investment Services LLC09-27-2019
Robert Thanh TranLPL Financial LLCCetera Investment Services LLC09-27-2019
Chen LingHSBC Securities (USA) Inc.Cetera Investment Services LLC05-30-2019
Wenjun WuJ.P. Morgan Securities LLCCetera Investment Services LLC05-20-2019
Kai-Yuan HuAmeriprise Financial Services, LLCCetera Investment Services LLC05-09-2019
Michal Bernice SlateCastle Rock Wealth Management, LLCCetera Investment Services LLC$15005-01-2019
Juliet Unyu HuangHSBC Securities (USA) Inc.Cetera Investment Services LLC02-27-2019
Maggie Chi LiuFidelity Brokerage Services LLCCetera Investment Services LLC10-02-2018
Susan Veronica CruzInfinex Investments, Inc.Cetera Investment Services LLC03-19-2018
Yin Yvonne ZhongNI AdvisorsCetera Investment Services LLC02-22-2018
Kai-Yuan HuCetera Investment Services LLCCetera Investment Services LLC01-02-2018
Carlos CarrilloQuestar Capital CorporationCetera Investment Services LLC12-22-2017
Dianne Elkins CohrsLPL Financial LLCCetera Investment Services LLC11-28-2017
John Francis PotterMML Investors Services, LLCCetera Investment Services LLC10-25-2017
Linda Louise GaleoneLPL Financial LLCCetera Investment Services LLC$4710-04-2017
Thomas Mark JensenLPL Financial LLCCetera Investment Services LLC$3510-04-2017
Jere C. Wise Jr.LPL Financial LLCCetera Investment Services LLC10-04-2017
Dennis J. Fortin IILPL Financial LLCCetera Investment Services LLC$1010-04-2017
Shaun G. SoukenikLPL Financial LLCCetera Investment Services LLC06-21-2017
Next Page »

Showing 1 to 25 of 99 entries

Page 1 | 2 | 3 | 4

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 and can not be resold, republished, redistributed, sublicensed, or copied for any other use without the permission of InvestmentNews LLC.