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
Maggie Xie LauerIndependent Financial Group, LLCCabot Lodge Securities LLC03-25-2019
Joel Earl ArcherIndependent Financial Group, LLCSummit Brokerage Services, Inc.$5001-16-2019
Mark John EnglundIndependent Financial Group, LLCSecurities America, Inc.$101-11-2019
Jodi Oyler PadgettIndependent Financial Group, LLCTaylor & Padgett Financial Group LLC$10001-03-2019
Peter Francis StrattonIndependent Financial Group, LLCUnion Capital Company12-21-2018
William Oliver HindsIndependent Financial Group, LLCLPL Financial LLC11-08-2018
Theodore LumIndependent Financial Group, LLCLPL Financial LLC$5008-03-2018
Ray Edward TeasdaleIndependent Financial Group, LLCSilber Bennett Financial, Inc.$107-25-2018
David Scott MowattIndependent Financial Group, LLCFirst Allied Securities, Inc.$10007-24-2018
Richard Michael PearsonIndependent Financial Group, LLCFSC Securities Corporation$2504-27-2018
Katherine M SalterIndependent Financial Group, LLCSagePoint Financial, Inc.$5004-09-2018
Dale Jerome ImmekusIndependent Financial Group, LLCCFD Investments, Inc.$1001-29-2018
Susan Louise PollockIndependent Financial Group, LLCWells Fargo Clearing Services, LLC01-02-2018
Dennis Anthony ContrestanoIndependent Financial Group, LLCRBC Capital Markets, LLC$8012-15-2017
Tony Antonio NavarroIndependent Financial Group, LLCLPL Financial LLC12-07-2017
Karl Edgar ColeIndependent Financial Group, LLCLPL Financial LLC$5011-20-2017
Marco David FontaniIndependent Financial Group, LLCNational Planning Corporation$5011-02-2017
Martin Edward PlecinogaIndependent Financial Group, LLCNational Planning Corporation$111-02-2017
Michael James LabrieIndependent Financial Group, LLCNational Planning Corporation11-01-2017
Jon Murrow GreulichIndependent Financial Group, LLCPrincipal Securities, Inc.10-31-2017
James Matthew PattonIndependent Financial Group, LLCNational Planning Corporation$5010-24-2017
Charles Rick HenningIndependent Financial Group, LLCNational Planning Corporation$4110-19-2017
Richard Alan RuppIndependent Financial Group, LLCFirst Financial Equity Corporation$2510-06-2017
Kevin Francis Hughes Jr.Independent Financial Group, LLCAusdal Financial Partners, Inc.09-28-2017
Neil Mckenzie ThomIndependent Financial Group, LLCFirst Allied Advisory Services, Inc.$11809-15-2017
Next Page »

Showing 1 to 25 of 225 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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