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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Adviser(s) Firm joining Firm leaving AUM ($M) Date
Michael PoseyMML Investors Services, LLCNYLIFE Securities LLC06-21-2019
Scott R. PrimmMML Investors Services, LLCNYLIFE Securities LLC06-20-2019
Adam Joseph SwerdlowMML Investors Services, LLCNorthwestern Mutual Investment Services, LLC05-28-2019
Rafiq Austin WileyMML Investors Services, LLCPlanMember Securities Corporation05-13-2019
Michael George RichardsonMML Investors Services, LLCEdward Jones$10005-09-2019
Brian R. YoungMML Investors Services, LLCPark Avenue Securities LLC$5004-24-2019
Guillermo A. SileskyMML Investors Services, LLCPruco Securities, LLC.04-16-2019
Nicolas Haruaki SullivanMML Investors Services, LLCAXA Advisors, LLC04-11-2019
Kierstin Kay ErwinMML Investors Services, LLCAXA Advisors, LLC04-11-2019
Jonathan Andrew GruberMML Investors Services, LLCAXA Advisors, LLC04-09-2019
Hyeseon HongMML Investors Services, LLCNI Advisors03-18-2019
Peter William GreenMML Investors Services, LLCCooper McManus02-13-2019
Christopher J. Cox Jr.MML Investors Services, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated02-05-2019
Etsuji Edward OizumiMML Investors Services, LLCCetera Advisor Networks LLC02-04-2019
Pamela CastanonMML Investors Services, LLCForesters Financial Services, Inc.02-04-2019
Melissa DelgadoMML Investors Services, LLCMutual of Omaha Investor Services, Inc.01-28-2019
Vyachesiav V. AndreyevskikhMML Investors Services, LLCPrincipal Securities, Inc.01-25-2019
Christina L. WadaMML Investors Services, LLCMML Investors Services, LLC01-23-2019
Ferdinand S. De GuzmanMML Investors Services, LLCNYLIFE Securities LLC12-04-2018
Jorge FinkelbergMML Investors Services, LLCAXA Advisors, LLC11-27-2018
Doug John IrelandMML Investors Services, LLCAmeriprise Financial Services, LLC11-06-2018
Theodore Rolfs MillerMML Investors Services, LLCAllstate Financial Services, LLC10-31-2018
Richard Royston GlassMML Investors Services, LLCAXA Advisors, LLC10-23-2018
Carter G. KimMML Investors Services, LLCAllstate Financial Services, LLC09-25-2018
Alexander George PiperMML Investors Services, LLCNorthwestern Mutual Investment Services, LLC09-21-2018
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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.