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
Scott Nicholas BeesleyRobert W. Baird & Co. IncorporatedJ.P. Morgan Securities LLC05-01-2019
Frank Catrena Vargas Jr.RBC Capital Markets, LLCWells Fargo Clearing Services, LLC$1,00005-01-2019
Scott D. BurnsRBC Capital Markets, LLCWells Fargo Clearing Services, LLC$10005-01-2019
Dean Brian BaumgartnerAW SecuritiesCambridge Investment Research, Inc.$2505-01-2019
Denis Bernard YorkAW SecuritiesCambridge Investment Research, Inc.05-01-2019
Michal Bernice SlateCastle Rock Wealth Management, LLCCetera Investment Services LLC$15005-01-2019
Margaret MarapaoIntegrity Wealth Advisors, Inc.Securities America, Inc.05-01-2019
Toma Lee KayWells Fargo Clearing Services, LLCMorgan Stanley$10005-01-2019
Alexis GutierrezJ.P. Morgan Securities LLCEdward Jones04-30-2019
Colin Andrew SheddCitigroup Global Markets Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated04-30-2019
Ian DavisFidelity Brokerage Services LLCEdward Jones04-30-2019
Karl Patrik Orlowski1st Global Capital Corp.Triad Advisors LLC04-30-2019
Dawn Ardys PowersCambridge Investment Research, Inc.Cetera Financial Specialists LLC04-30-2019
Ronald Craig HudspethYosemite Capital ManagementMorgan Stanley$1004-30-2019
Jeffrey Thomas RussellPerigon Wealth Management, LLCBay Financial Advisors, Inc.04-30-2019
Adam Tyler BrownLitton FinancialLPL Financial LLC04-30-2019
Kathleen D. ToschiMerrill Lynch, Pierce, Fenner & Smith IncorporatedMotif04-30-2019
Yong Joon ChoWells Fargo Clearing Services, LLCUnionBanc Investment Services, LLC04-30-2019
Yaopa ChengCitigroup Global Markets Inc.Transamerica Financial Advisors, Inc04-29-2019
Vinh Quang DoCetera Investment Services LLCTIAA-CREF Individual & Institutional Services, LLC04-29-2019
Andrew Louis EspostoFidelity Brokerage Services LLCCharles Schwab & Co., Inc.04-29-2019
Thomas James CarlsonLPL Financial LLCCetera Advisors LLC$2204-29-2019
Scott Steven FeherLPL Financial LLCCetera Advisors LLC$2504-29-2019
Skyler C. StokesRetirement Wealth Advisors, Inc.Newport Wealth Advisors, Inc.04-29-2019
Lindsay Ann MartinezXennial Planning LLCGWFS Equities, Inc.04-29-2019
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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.