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.

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Latest moves


Adviser(s) Firm joining Firm leaving AUM ($M) Date
Brian David AndersonMML Investors Services, LLCAIG Capital Services, Inc.03-02-2016
Hank Yeh WangMML Investors Services, LLCAmeriprise Financial Services, Inc.$107-21-2017
Chad Ryan MilesMML Investors Services, LLCAXA Advisors, LLC10-07-2016
Luke Tien-Lu TungMML Investors Services, LLCAXA Advisors, LLC11-25-2015
Sheila Sui Lai ChauMML Investors Services, LLCAXA Advisors, LLC$103-05-2015
David I BacallMML Investors Services, LLCAXA Advisors, LLC04-22-2014
Eric Fisher GrossMML Investors Services, LLCAXA Advisors, LLC12-19-2013
Richard Howard KoffMML Investors Services, LLCAXA Advisors, LLC$7508-29-2013
Paul Joseph SalernoMML Investors Services, LLCBeacon Pointe Wealth Advisors, LLC$10008-02-2017
Christopher Michael NunnMML Investors Services, LLCCambridge Investment Research, Inc.01-27-2015
Lavette Denier HatchMML Investors Services, LLCChase Investment Services Corp.03-12-2012
James Patrick KeaneMML Investors Services, LLCCION Securities, LLC10-07-2015
Jay V PettyMML Investors Services, LLCCUNA Brokerage Services, Inc.$5003-27-2018
Paul Adonay BergamaschiMML Investors Services, LLCEdward Jones02-07-2011
Mark Alan WedgworthMML Investors Services, LLCEquity Services, Inc.03-09-2017
Perla Agcaoili GarciaMML Investors Services, LLCEquity Services, Inc.03-09-2011
Arnulfo Morales ArboledaMML Investors Services, LLCFirst Command Financial Planning, Inc.02-04-2015
Tawnya Christine SchwartzMML Investors Services, LLCFoothill Securities, Inc.06-10-2015
Kevin Hwan ChungMML Investors Services, LLCGold Coast Securities, Inc.$10005-27-2015
Sherri Lynn PanttajaMML Investors Services, LLCGWFS Equities, Inc.03-01-2014
Arielle Louise BittoniMML Investors Services, LLCHilltop Securities Inc.05-11-2017
Manjula DeviMML Investors Services, LLCHorace Mann Investors, Inc.09-25-2015
Brendan Morgan FarrellyMML Investors Services, LLCHornor, Townsend & Kent, LLC02-28-2018
Allen Rayferd TimmsMML Investors Services, LLCHornor, Townsend & Kent, LLC04-12-2017
Karen Ho Ling ChanMML Investors Services, LLCHSBC Securities (USA) Inc.04-20-2016
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Showing 1 to 25 of 141 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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