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
Justin Thomas AdamsLPL Financial LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$5005-10-2019
Barbara Suzanne WagnerLPL Financial LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$5004-23-2019
Christopher Lee HarrisLPL Financial LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated03-20-2019
Mary Ann R. GeeLPL Financial LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated01-03-2019
Howard Steven MeyersonLPL Financial LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$10012-07-2018
Matthew FrancoLPL Financial LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated07-13-2018
Robert Emmett OogheLPL Financial LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated07-03-2018
Bernard C RingerLPL Financial LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$10005-24-2018
Bryan Anthony DiazLPL Financial LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated05-11-2018
Charles Henry Shreve IIILPL Financial LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$1004-12-2018
Peter ArnoldLPL Financial LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$7912-08-2017
Peter Marvin ArnoldLPL Financial LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$5012-08-2017
Ronald ScottLPL Financial LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$23108-31-2017
Ronald Eugene ScottLPL Financial LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$10008-31-2017
Chris SpencerLPL Financial LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$6904-20-2017
Richard RamosLPL Financial LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated10-03-2016
Christopher James KempLPL Financial LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated06-10-2016
Matthew J PrenticeLPL Financial LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$1004-29-2016
Jennifer Kate StrongLPL Financial LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated03-08-2016
Hao DangLPL Financial LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated01-27-2016
John Albert Ayala Sr.LPL Financial LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated01-05-2016
Neel PatelLPL Financial LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$7007-31-2015
Teresa Ka Mun WongLPL Financial LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated03-27-2015
Bradley L. FallonLPL Financial LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated12-12-2014
Jared Dorwayne JensenLPL Financial LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated08-15-2013
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Showing 1 to 25 of 69 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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