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
James Walter NoackCommonwealth Financial NetworkMadison Avenue Securities, LLC05-31-2019
Marites Jane AvilaCommonwealth Financial NetworkJ.P. Morgan Securities LLC04-15-2019
Heather Rose NicholasCommonwealth Financial NetworkOneAmerica Securities, Inc.10-02-2018
Brian Kendall EphraimCommonwealth Financial NetworkNorthwestern Mutual Investment Services, LLC09-13-2018
Patrick Sullivan CookCommonwealth Financial NetworkLPL Financial LLC07-12-2018
Scott William HolmesCommonwealth Financial NetworkNeuberger Berman BD LLC05-22-2018
Robert Neil BurnsCommonwealth Financial NetworkLPL Financial LLC05-22-2018
Arabelle Vidal RestauroCommonwealth Financial NetworkNorthwestern Mutual Investment Services, LLC02-21-2018
Laurie LipmanCommonwealth Financial NetworkGood Life Advisors, LLC02-02-2018
Kathie Ann MuhlerCommonwealth Financial NetworkAvantax Investment Services, Inc.09-08-2017
Jose Fernando CamposCommonwealth Financial NetworkAvantax Investment Services, Inc.09-08-2017
Anne Priebe MorrisCommonwealth Financial NetworkThe Gensler Group09-06-2017
Michael A. SoloCommonwealth Financial NetworkAmeriprise Financial Services, Inc.09-06-2017
Scott Elliott MillerCommonwealth Financial NetworkRNC Genter Capital Management08-23-2017
David Andrew RoggenkampCommonwealth Financial NetworkSignator Investors, Inc.05-15-2017
Edward P. CaballeroCommonwealth Financial NetworkMerrill Lynch, Pierce, Fenner & Smith Incorporated01-31-2017
Brian Scott RegierCommonwealth Financial NetworkPrincipal Securities, Inc.12-01-2015
Stephen Michael AstleCommonwealth Financial NetworkRaymond James & Associates, Inc.08-07-2015
Carol Nadine AbeloeCommonwealth Financial NetworkJHS Capital Advisors, LLC07-09-2015
Evan Ray ChertkovCommonwealth Financial NetworkGreenwich Private Wealth LLC07-06-2015
Megan Elizabeth JohnsonCommonwealth Financial NetworkWells Fargo Clearing Services, LLC (Formerly Wells Fargo Advisors, LLC)01-05-2015
Charles Frederick HawekotteCommonwealth Financial NetworkLPL Financial LLC09-16-2014
Richard Daniel ScarpittiCommonwealth Financial NetworkLPL Financial LLC08-29-2014
Michael Alen LegacyCommonwealth Financial NetworkMorgan Stanley08-26-2014
Jon Brian BeaucheminCommonwealth Financial NetworkFinancial Telesis Inc08-12-2014
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Showing 1 to 25 of 145 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 and can not be resold, republished, redistributed, sublicensed, or copied for any other use without the permission of InvestmentNews LLC.


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