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
Steven Barry SloanCrown Capital Securities, L.P.Western International Securities, Inc.05-31-2019
James Walter NoackCommonwealth Financial NetworkMadison Avenue Securities, LLC05-31-2019
Jason Lee Ray BettsRaymond James & Associates, Inc.Cantella & Co., Inc.05-31-2019
Renata LanceCetera Financial Specialists LLCMorgan Stanley05-31-2019
James Paul Wertz Jr.Independent Financial Group, LLCCambridge Investment Research, Inc.05-31-2019
Tom Karoly FerencziWells Fargo Clearing Services, LLCUnionBanc Investment Services, LLC05-31-2019
Diptes BasuJ.P. Morgan Securities LLCIIFL Capital Inc.05-31-2019
Joyce LeeMontcalm TCR LLCFirst Republic Securities Company, LLC05-31-2019
Jennifer Hsiu Chin FernandezMerrill Lynch, Pierce, Fenner & Smith IncorporatedJ.P. Morgan Securities LLC05-31-2019
Christopher S. WengRaymond James & Associates, Inc.UBS Financial Services Inc.05-30-2019
Peter Isaac MyersRaymond James & Associates, Inc.UBS Financial Services Inc.05-30-2019
Michael Aaron PadillaLPL Financial LLCUnionBanc Investment Services, LLC05-30-2019
Leon Chang Soo KimKLK Capital Management LLCStonemark Wealth Management05-29-2019
Frankie Y. TamHSBC Securities (USA) Inc.Citigroup Global Markets Inc.$2505-28-2019
Rebecca J. DawsonEmerson Equity LLCWoodbury Financial Services, Inc.05-28-2019
Yuri KimWells Fargo Clearing Services, LLCU.S. Bancorp Investments, Inc.05-28-2019
Michael Andrew BatesUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$1,00005-24-2019
Kenesha Marie BanfieldFirst Republic Securities Company, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$11405-24-2019
Ronnyjane GoldsmithRaymond James Financial Services, Inc.Morgan Stanley$5005-24-2019
Michael Anthony PepperMorgan StanleyWells Fargo Clearing Services, LLC05-24-2019
John C CollinsWells Fargo Clearing Services, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated05-24-2019
Austin Heberger, Gavin LeeRaymond James Financial Services, Inc.Wells Fargo Clearing Services, LLC$35005-23-2019
Gavin Andrew LeeRaymond James Financial Services, Inc.Wells Fargo Clearing Services, LLC$1,00005-23-2019
Austin Norris Heberger Jr.Raymond James Financial Services, Inc.Wells Fargo Clearing Services, LLC$5005-23-2019
William Howard GombergWells Fargo Advisors Financial Network, LLCWells Fargo Clearing Services, LLC$5005-23-2019
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Showing 126 to 150 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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