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
Aaron Leo SchettlerInfinex Investments, Inc.PFS Investments Inc.$110-20-2018
Brien Holt MattinglyMerrill Lynch, Pierce, Fenner & Smith IncorporatedWells Fargo Clearing Services, LLC10-19-2018
Ian McClureRaymond JamesWells Fargo Advisors$11410-12-2018
John Kenneth HoltkampJHP Wealth Management, LLCPrivate Capital Management, LLC10-10-2018
Dan Johnson, Melissa Dixon, Tami Eberhardt, Barb Bruen, Matt Dixon, Darin Luze, Ron Platz, Denny FinkenLPL FinancialSecurities America$27510-09-2018
Trevor Nolen TrippPrivate Client Services, LLCCetera Advisors LLC10-08-2018
Adam Ryan SmithKey Investment Services LLCNYLIFE Securities LLC10-05-2018
Robert Matthew Halbert Jr.Merrill Lynch, Pierce, Fenner & Smith IncorporatedWells Fargo Clearing Services, LLC10-04-2018
Jeremy Shea ThompsonBBVA Securities Inc.TIAA-CREF Individual & Institutional Services, LLC10-02-2018
Tuan Tran PhanLPL Financial LLCAmeriprise Financial Services, Inc.10-01-2018
Andrew Michael PalmasanoRaymond James Financial Services, Inc.Black Creek Capital Markets, LLC$2509-28-2018
Darren Leonard BishopWells Fargo Clearing Services, LLCAmeriprise Financial Services, Inc.$10009-28-2018
David James DunnLPL Financial LLCRaymond James Financial Services, Inc.09-28-2018
Jeffrey David DunnLPL Financial LLCRaymond James Financial Services, Inc.$5009-28-2018
Matthew Joshua SmithWells Fargo Clearing Services, LLCAmeriprise Financial Services, Inc.$109-28-2018
Daniel Shawn OrourkeO'Rourke FinancialAmeriprise Financial Services, Inc.09-24-2018
Grant Simon GlennNoble Wealth PartnersLPL Financial LLC09-24-2018
Joseph L. DuranQuestar Capital CorporationUBS Financial Services Inc.09-21-2018
Christopher James CoburnRBC Capital Markets, LLCRobert W. Baird & Co. Incorporated$5009-20-2018
Sharla Roundtree, Ronald BlairKestra FinancialRoyal Alliance$11809-17-2018
Derek Paul SubotickiBancWest Investment Services, Inc.Fidelity Brokerage Services LLC09-14-2018
Joshua Austin RigdenAlphamintTypher Financial Services, LLC09-14-2018
Misha Britt SchryerHeadway Financial Solutions, LLCPark Avenue Securities LLC09-14-2018
Brendon Michael DerouinThe Leaders Group, Inc.Woodbury Financial Services, Inc.09-12-2018
Barbara Yvonne KleinSummit Brokerage Services, Inc.Broker Dealer Financial Services Corp.09-10-2018
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Showing 76 to 100 of 2,618 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.

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