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
Gustavo LozanoU.S. Bancorp Investments, Inc.J.P. Morgan Securities LLC$15011-14-2018
Stephen Craig GordenierPlanMember Securities CorporationForesters Equity Services, Inc.11-14-2018
Sugey PiedraHD Vest Investment ServicesMorgan Stanley11-14-2018
Kenneth Levy, Corey N. Daniel and Dudley McGeeLPL FinancialWells Fargo Advisors$20011-14-2018
Marilu HernandezU.S. Bancorp Investments, Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated11-13-2018
William James CortusLPL Financial LLCThrivent Investment Management Inc.11-13-2018
Andrew James KozakMerrill Lynch, Pierce, Fenner & Smith IncorporatedAXA Advisors, LLC11-12-2018
Benjamin Patrick Anh SmitsMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley11-12-2018
John Christopher FleishmanMorgan StanleyRaymond James & Associates, Inc.$15011-12-2018
Martin David BatstoneNewbridge Securities CorporationCrown Capital Securities, L.P.$5011-12-2018
James David VasquezAXA Advisors, LLCMorgan Stanley11-09-2018
Michael CrawfordArete Wealth Management, LLCUBS Financial Services Inc.$10011-09-2018
Valerie Cynthia KrebsWells Fargo Clearing Services, LLCJ.P. Morgan Securities LLC11-09-2018
Brian Michael FrostLincoln Financial Advisors CorporationSorrento Pacific Financial, LLC11-08-2018
Chandara LimMerrill Lynch, Pierce, Fenner & Smith IncorporatedJ.P. Morgan Securities LLC11-08-2018
KEVIN PAUL HENSSStrivent FinancialInspired Financial11-08-2018
Michael Gene KissingerKingsview Asset Management, LLCWells Fargo Clearing Services, LLC11-08-2018
Sophia Yu LiuMerrill Lynch, Pierce, Fenner & Smith IncorporatedSecurian Financial Services, Inc.11-08-2018
Sunny James KangMerrill Lynch, Pierce, Fenner & Smith IncorporatedUnionBanc Investment Services, LLC11-08-2018
Victor Hugo AvilaWells Fargo Clearing Services, LLCJ.P. Morgan Securities LLC11-08-2018
William Oliver HindsIndependent Financial Group, LLCLPL Financial LLC11-08-2018
Linda PereiraWells Fargo Clearing Services, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated11-07-2018
Michele Ing Raymond JamesEdward Jones$12011-05-2018
Dan Paul MichaelianRoyal Alliance Associates, Inc.Foresters Financial Services, Inc.$5011-05-2018
Deepti BediMerrill Lynch, Pierce, Fenner & Smith IncorporatedJ.P. Morgan Securities LLC11-05-2018
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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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