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

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Adviser(s) Firm joining Firm leaving AUM ($M) Date
Maria Esther UribeAmeriprise Financial Services, LLCAmeriprise Financial Services, LLC07-15-2019
Richard BoydAmeriprise Financial Services, LLCNYLIFE Securities LLC07-08-2019
Richard Howard KoffAmeriprise Financial Services, LLCMML Investors Services, LLC06-07-2019
Michael T. BarnettAmeriprise Financial Services, LLCMML Investors Services, LLC06-07-2019
German Tayag De SotoAmeriprise Financial Services, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated05-23-2019
Kai-Yuan HuAmeriprise Financial Services, LLCCetera Investment Services LLC05-09-2019
Russell A DoyleAmeriprise Financial Services, LLCWells Fargo Clearing Services, LLC$2504-12-2019
Beatriz Amalia PontonAmeriprise Financial Services, LLCWells Fargo Clearing Services, LLC03-26-2019
Jason Dean SandsAmeriprise Financial Services, LLCWells Fargo Clearing Services, LLC$15003-15-2019
Marc Anthony ThompsonAmeriprise Financial Services, LLCMorgan Stanley$5003-15-2019
Muhammad R WahdyAmeriprise Financial Services, LLCWahdy Capital03-14-2019
Christine Michelle DixonAmeriprise Financial Services, LLCCharles Schwab & Co., Inc.$1003-12-2019
Stephen James RohdeAmeriprise Financial Services, LLCHilltop Securities Inc.$1003-08-2019
Michael Edward MosherAmeriprise Financial Services, LLCPortsmouth Financial Services02-27-2019
Alexander SchamsAmeriprise Financial Services, LLCEdward Jones02-01-2019
Grant Walter OstapeckAmeriprise Financial Services, LLCWells Fargo Clearing Services, LLC$1,00001-18-2019
Chris Richard LeonhardAmeriprise Financial Services, LLCUBS Financial Services Inc.$5001-18-2019
John Frederick CicotteAmeriprise Financial Services, LLCLPL Financial LLC$10001-17-2019
Donald James MatthewsonAmeriprise Financial Services, LLCWells Fargo Clearing Services, LLC01-10-2019
Chiu Fong WuAmeriprise Financial Services, LLCWells Fargo Clearing Services, LLC$1,00011-30-2018
Marc Theodore AdelmanAmeriprise Financial Services, LLCWestern International Securities, Inc.$10011-01-2018
Stacie Lynn LeakeAmeriprise Financial Services, LLCFinancial Advocates Investment Management10-26-2018
Brooks Dodson CrisseyAmeriprise Financial Services, LLCWells Fargo Clearing Services, LLC10-12-2018
Daniel Goodman RothschildAmeriprise Financial Services, LLCMorgan Stanley$10010-05-2018
Michael Morris RothschildAmeriprise Financial Services, LLCMorgan Stanley$10010-05-2018
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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 InvestmentNews.com and can not be resold, republished, redistributed, sublicensed, or copied for any other use without the permission of InvestmentNews LLC.