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.Recruiting Scoreboard (Q4 2019)
Recruiting Gains
Recruiting Losses
Net Gains
Latest moves
| Adviser(s) | Firm joining | Firm leaving | AUM ($M) | Date |
|---|---|---|---|---|
| Joseph William Conway, Thomas Joseph Conway, Thomas William Hoban, Larry Marshall McCarty, Anthony J Bertocchini, Sean L McCarty | Commonwealth Financial Network | Royal Alliance Associates, Inc. | $100 | 02-09-2009 |
| Melvyn Henry Nachman | Mutual Securities, Inc. | Royal Alliance Associates, Inc. | — | 05-08-2009 |
| Claudia Perez Brown | Commonwealth Financial Network | Royal Alliance Associates, Inc. | — | 11-30-2009 |
| Steven Medwed | Liberty Partners Financial Services, LLC | Royal Alliance Associates, Inc. | $50 | 06-23-2010 |
| Daniel Grieco | First Allied Securities, Inc. | Royal Alliance Associates, Inc. | — | 08-09-2010 |
| Bryan Paul Hopkins | Independent Financial Group, LLC | Royal Alliance Associates, Inc. | $25 | 09-23-2010 |
| Donna Rae Bellamy | Madison Avenue Securities, LLC | Royal Alliance Associates, Inc. | — | 07-22-2011 |
| Clell John Laugharn Jr. | M Holdings Securities, Inc. | Royal Alliance Associates, Inc. | — | 04-13-2012 |
| William Eugene Hauenstein | Crown Capital Securities, L.P. | Royal Alliance Associates, Inc. | $25 | 03-01-2013 |
| Gregory Ralph Metcalf | First Allied Securities, Inc. | Royal Alliance Associates, Inc. | $10 | 09-04-2013 |
| Deborah Mackenzie Reason | Independent Financial Group, LLC | Royal Alliance Associates, Inc. | — | 01-27-2014 |
| Cyndee Kay Kahn | Voya Financial Advisors, Inc. | Royal Alliance Associates, Inc. | $25 | 05-07-2014 |
| Patricia Ann Adrian | Wells Fargo Clearing Services, LLC | Royal Alliance Associates, Inc. | — | 07-07-2014 |
| Usha Monique Cervantes | Transamerica Financial Advisors, Inc | Royal Alliance Associates, Inc. | — | 10-02-2014 |
| David Jason Casterioto | First Allied Securities, Inc. | Royal Alliance Associates, Inc. | — | 12-22-2014 |
| William Steele Symons III | Eureka Financial Planners, LLC | Royal Alliance Associates, Inc. | — | 07-24-2015 |
| Peter J Ashby | Genovese Burford & Brothers Wealth and Retirement Plan Mgmt, LLC | Royal Alliance Associates, Inc. | — | 12-07-2016 |
| Dari Dariush Rachedi | NWF Advisory Services Inc | Royal Alliance Associates, Inc. | — | 10-05-2017 |
| Joseph Starkey Hagler | NWF Advisory Services Inc | Royal Alliance Associates, Inc. | — | 10-27-2017 |
| Loretta Ann Casey | HD Vest Investment Services | Royal Alliance Associates, Inc. | $10 | 11-27-2017 |
| Trisha Lynn Terrell | LPL Financial LLC | Royal Alliance Associates, Inc. | — | 01-17-2018 |
| Enrico Thomas Cacciapuoti | Mutual of Omaha Investor Services, Inc. | Royal Alliance Associates, Inc. | $50 | 03-29-2018 |
| Kelly Josephine Ryan | Wells Fargo Clearing Services, LLC | Royal Alliance Associates, Inc. | — | 10-10-2018 |
| John Lodge Farmer | Independent Financial Group, LLC | Royal Alliance Associates, Inc. | $100 | 01-04-2019 |
| Charles Edwin Taylor | Independent Financial Group, LLC | Royal Alliance Associates, Inc. | — | 01-04-2019 |
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.
