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
Kevin Joseph SchaeferWells Fargo Clearing Services, LLC (Formerly Wells Fargo Advisors, LLC)Merrill Lynch, Pierce, Fenner & Smith Incorporated08-16-2019
James Martin OghigianPavion Blue Capital, LLCMorgan Stanley08-16-2019
Eric Siang WongPavion Blue Capital, LLCMorgan Stanley08-16-2019
Kevin Joseph SchaeferWells Fargo Clearing Services, LLC (Formerly Wells Fargo Advisors, LLC)Merrill Lynch, Pierce, Fenner & Smith Incorporated08-16-2019
Juan Manuel VargasSecurities America, Inc.Woodbury Financial Services, Inc.08-13-2019
Quang L. NguyenCitigroup Global Markets Inc.J.P. Morgan Securities LLC08-13-2019
Quang L. NguyenCitigroup Global Markets Inc.J.P. Morgan Securities LLC08-13-2019
Juan Manuel VargasSecurities America, Inc.Woodbury Financial Services, Inc.08-13-2019
Virgilio Benedicto Cristobal Jr.SagePoint Financial, Inc.Lincoln Financial Advisors Corporation08-12-2019
Rick Joseph MilitelloIntegrated Advisors Network LLCRoyal Alliance Associates, Inc.08-02-2019
Anthony Wells ZapicoSecurities America Advisors, Inc.IC Advisory Services, Inc.08-02-2019
Sarah Noella SantanaRaymond James Financial Services Advisors, IncEdward Jones08-02-2019
Samson Kamlong ChanLion Street Advisors, LLCAmeritas Investment Corp.08-01-2019
Michael Grant ThompsonSecurities America Advisors, Inc.1st Global Advisors Inc08-01-2019
Curtis Martin HillPortfolio Medics, LLCSecurities America, Inc.08-01-2019
Michael Lawrence MannEmerson Equity LLCAscendant Alternative Strategies, LLC08-01-2019
Ross Bentley HansenEdward JonesPure Financial Advisors, Inc.07-30-2019
Gregory HarderNBC Securities, Inc.Edward Jones07-30-2019
Richard J DupontFirst Republic Securities Company, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated07-29-2019
Abbas KhoshnevissanRockefeller Financial LLCWells Fargo Clearing Services, LLC07-26-2019
Mark Linforth BeachFirst Republic Securities Company, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated07-26-2019
Stephen Chung-Yee LohNational Securities CorporationWedbush Securities Inc.07-26-2019
Adam Lawrence KochWells Fargo Clearing Services, LLCAmeriprise Financial Services, Inc.07-26-2019
Leilani M. HarwoodFortune Financial Services, Inc.Independent Financial Group, LLC07-26-2019
Thomas H KimCetera Investment Services LLCInfinex Investments, Inc.07-25-2019
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Showing 1 to 25 of 201 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 InvestmentNews.com and can not be resold, republished, redistributed, sublicensed, or copied for any other use without the permission of InvestmentNews LLC.

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