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
Alexander M. BaierNorthwestern Mutual Investment Services, LLCForesters Financial Services, Inc.04-13-2018
Alexander Millard RosenblattNorthwestern Mutual Investment Services, LLCOTR Global Trading LLC01-14-2009
Andrew Penn ShannonNorthwestern Mutual Investment Services, LLCAXA Advisors, LLC09-26-2016
Anthony Jerome AbadillaNorthwestern Mutual Investment Services, LLCAmeriprise Financial Services, Inc.$10002-04-2009
Anthony Richard Tucci Jr.Northwestern Mutual Investment Services, LLCJ.P. Morgan Securities LLC09-09-2014
Ashley Tejal GohilNorthwestern Mutual Investment Services, LLCMetLife Securities Inc.11-04-2014
Cheryl Gaylene GastineauNorthwestern Mutual Investment Services, LLCAmerican Fidelity Securities, Inc.05-22-2014
Daniel Alexander FloresNorthwestern Mutual Investment Services, LLCCanterbury Consulting Incorporated04-10-2013
Daniel KarstadtNorthwestern Mutual Investment Services, LLCCitigroup Global Markets Inc.$10009-27-2018
Daniel Steven PoeNorthwestern Mutual Investment Services, LLCPlanMember Securities Corporation11-06-2013
Daniel Wayne KutzkeyNorthwestern Mutual Investment Services, LLCAmeritas Investment Corp.05-02-2011
David Alan Krouse Jr.Northwestern Mutual Investment Services, LLCChase Investment Services Corp.02-17-2012
David Neil TuasonNorthwestern Mutual Investment Services, LLCMML Investors Services, LLC05-14-2010
Edcelyn Nuqui PujolNorthwestern Mutual Investment Services, LLCSampson Investment Management04-22-2010
Eric C. AbrahamsonNorthwestern Mutual Investment Services, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated01-19-2017
Erica Eileen LaMountainNorthwestern Mutual Investment Services, LLCAmeriprise Financial Services, Inc.01-29-2019
Erick R FraustoNorthwestern Mutual Investment Services, LLCAXA Advisors, LLC06-11-2010
Ethan N. AparicioNorthwestern Mutual Investment Services, LLCAllstate Financial Services, LLC$10012-16-2010
Gianne Carlo ApuradoNorthwestern Mutual Investment Services, LLCWells Fargo Clearing Services, LLC (Formerly Wells Fargo Advisors, LLC)$10005-24-2011
Hollie Rene HuntNorthwestern Mutual Investment Services, LLCWaddell & Reed02-18-2014
Hrachya Rich DavtyanNorthwestern Mutual Investment Services, LLCLPL Financial LLC01-08-2015
Ivy Han NguyenNorthwestern Mutual Investment Services, LLCCsfbdirect, Inc.$10001-05-2015
James Francis ReyesNorthwestern Mutual Investment Services, LLCWorld Group Securities, Inc.06-06-2011
James Thomas FettersNorthwestern Mutual Investment Services, LLCLynx Capital, LLC07-14-2016
Jeffrey Douglas BrechtNorthwestern Mutual Investment Services, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated05-17-2016
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Showing 1 to 25 of 59 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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