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
Craig Michael BentleyStifel, Nicolaus & Company, IncorporatedWells Fargo Clearing Services, LLC$10004-04-2019
Jimmy Dao LinTD Ameritrade Investment Management, LLCFidelity Brokerage Services LLC04-04-2019
Phuc Cong TruongJ.P. Morgan Securities LLCWells Fargo Clearing Services, LLC04-04-2019
Giulio CannatelloStrategic Wealth Advisors GroupUnionBanc Investment Services, LLC04-04-2019
Ronald Eugene LohbeckUBS Financial Services Inc.Wells Fargo Clearing Services, LLC$1,00004-03-2019
Gary Steven AllenStifel, Nicolaus & Company, IncorporatedMerrill Lynch, Pierce, Fenner & Smith Incorporated$15004-03-2019
Greg Gregory MunroStifel, Nicolaus & Company, IncorporatedMerrill Lynch, Pierce, Fenner & Smith Incorporated$10004-03-2019
Kevin Fredrick WilliamsLucia Securities, LLCWells Fargo Clearing Services, LLC$10004-03-2019
Peggy Lee AllenStifel, Nicolaus & Company, IncorporatedMerrill Lynch, Pierce, Fenner & Smith Incorporated$3004-03-2019
David P. LancasterEmerson Equity LLCFNEX Capital, LLC04-03-2019
Robert Benson BabcockStifel, Nicolaus & Company, IncorporatedMerrill Lynch, Pierce, Fenner & Smith Incorporated04-03-2019
Gabriel Pomeroy MillarDewpoint FinancialVelox Clearing LLC04-03-2019
Jeffrey Jon CullenLPL Financial LLCSRP ADVISORY SERVICES LLC$11804-01-2019
Michael B MorganLPL Financial LLCKestra Investment Services, LLC$5004-01-2019
Mark Richard ForbesLPL Financial LLCKestra Investment Services, LLC04-01-2019
Sarah Amanda HughesLPL Financial LLCKestra Investment Services, LLC04-01-2019
Jennifer Lynne McCoy DumasLPL Financial LLCKestra Investment Services, LLC04-01-2019
Ann Marie HansenLPL Financial LLCKestra Investment Services, LLC04-01-2019
Samuel V. MaplesBancWest Investment Services, Inc.J.P. Morgan Securities LLC04-01-2019
Matthew M DufresneLPL Financial LLCKestra Investment Services, LLC04-01-2019
Malcolm Douglas MaclennanNewbridge Securities CorporationFSC Securities Corporation$15003-29-2019
Gina Lori BayerLPL Financial LLCCUSO Financial Services, L.P.$15003-29-2019
Ryan Manning AshtonWells Fargo Clearing Services, LLCMorgan Stanley$5003-29-2019
Jack Xiaosui LiuOptions Best FinancialGPS Capital Management, LLC03-29-2019
Daniel James O'Sullivan Jr.Global Retirement Partners LLCIndependent Financial Partners03-29-2019
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Showing 276 to 300 of 1,114 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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