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
Silphy M.H. OuPruco Securities, LLC.World Group Securities, Inc.03-08-2010
Richard Roy McKinleyPruco Securities, LLC.Edward Jones08-23-2010
Angela Yoomi SonPruco Securities, LLC.MetLife Securities Inc.08-22-2013
Kevin K. YookPruco Securities, LLC.NYLIFE Securities LLC10-24-2013
Kathlyn Michelle PiercePruco Securities, LLC.PFS Investments Inc.08-04-2014
Felicity Di PisaPruco Securities, LLC.MML Investors Services, LLC08-22-2014
Barbara Kershnep LoosPruco Securities, LLC.PFS Investments Inc.09-02-2014
Ikuyo HiraguchiPruco Securities, LLC.MML Investors Services, LLC02-12-2015
Kathryn Blair StazkoPruco Securities, LLC.UnionBanc Investment Services, LLC05-22-2015
Douglas Lee SonnenbergPruco Securities, LLC.Cambridge Investment Research, Inc.06-01-2015
Lisa Anne BergPruco Securities, LLC.Foresters Financial Services, Inc.08-19-2015
Robert Kwong HomPruco Securities, LLC.Merrill Lynch, Pierce, Fenner & Smith Incorporated$5001-22-2016
Timothy Andre DelaportePruco Securities, LLC.Principal Securities, Inc.02-19-2016
June Menguita FalalesPruco Securities, LLC.Signator Investors, Inc.04-13-2016
Gilbert Anthony Mathieu Jr.Pruco Securities, LLC.MetLife Securities Inc.05-06-2016
Gerry PakPruco Securities, LLC.NYLIFE Securities LLC05-23-2016
Hernan Gerard UmanaPruco Securities, LLC.Umana | Monei06-13-2016
Evan Reid OsbornePruco Securities, LLC.MML Investors Services, LLC$25307-12-2016
Rosaline AlamPruco Securities, LLC.NYLIFE Securities LLC08-18-2016
Shawn David MalonePruco Securities, LLC.BBVA Securities Inc.01-18-2017
Alvan Ian ShanePruco Securities, LLC.Cetera Financial Specialists LLC$10004-11-2017
Phillip Chartchai KiriboonPruco Securities, LLC.MML Investors Services, LLC05-16-2017
Joaquin E. WallacePruco Securities, LLC.Hornor, Townsend & Kent, LLC07-07-2017
Tony T. YangPruco Securities, LLC.UnionBanc Investment Services, LLC08-23-2017
Maurice Delshawn WrightPruco Securities, LLC.NYLIFE Securities LLC10-06-2017
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Showing 1 to 25 of 44 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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