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
Hardeep SinghWedbush Securities Inc.Wells Fargo Clearing Services, LLC03-18-2019
Scott Alan StevensMerrill Lynch, Pierce, Fenner & Smith IncorporatedKestra Investment Services, LLC03-18-2019
Jason Dean SandsAmeriprise Financial Services, Inc.Wells Fargo Clearing Services, LLC$15003-15-2019
Mark Holmes BoettcherSorrento Pacific Financial, LLCForeside Fund Services, LLC03-15-2019
Toni Lynn SutherlandEmerson Equity LLCSandlapper Securities, LLC$5003-14-2019
Antonio Rafael RosadoU.S. Bancorp Investments, Inc.Ameriprise Financial Services, Inc.$1003-14-2019
Mohammed Safieddine AyalaU.S. Bancorp Investments, Inc.LPL Financial LLC03-14-2019
Cao Tri TranCUNA Brokerage Services, Inc.City National Securities, Inc.03-14-2019
Michelle MingCitigroup Global Markets Inc.J.P. Morgan Securities LLC03-13-2019
Andrew Hung NguyenCetera Investment Services LLCCetera Advisors LLC03-13-2019
Andrew Hung NguyenCetera Investment Services LLCCetera Advisors LLC03-13-2019
Dustin Craig RiefUBS Financial Services Inc.Mercer Global Advisors Inc.$1,00003-12-2019
Christine Michelle DixonAmeriprise Financial Services, Inc.Charles Schwab & Co., Inc.$1003-12-2019
Paul C. ChangGlobalink Securities, Inc.Pruco Securities, LLC.$10003-11-2019
Ellen Y. LauLPL Financial LLCIndependent Financial Group, LLC$2503-11-2019
Eric Joseph LeiderCetera Advisor Networks LLCThe Financial Team, Inc.03-11-2019
Robert Martin CheneyDFPG Investments, Inc.First Allied Securities, Inc.$2503-08-2019
Stephen James RohdeAmeriprise Financial Services, Inc.Hilltop Securities Inc.$1003-08-2019
Arch F HoffmanRBC Capital Markets, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated03-06-2019
Lu XuRBC Capital Markets, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated03-06-2019
Casey Roberts HullGroveFidelity Brokerage Services LLC03-06-2019
Lyubov Vladimirovna JewellU.S. Bancorp Investments, Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated03-06-2019
Michael James DrahosAllstate Financial Services, LLCThe Leaders Group, Inc.03-05-2019
Hector M. Gonzalez Jr.Merrill Lynch, Pierce, Fenner & Smith IncorporatedJ.P. Morgan Securities LLC03-05-2019
Christopher M. DateCitigroup Global Markets Inc.MML Investors Services, LLC03-05-2019
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Showing 326 to 350 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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