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
Jason Michael PottSecurities America, Inc.National Planning Corporation12-14-2017
Sherman Edward StrobeckLPL Financial LLCNational Planning Corporation$2911-29-2017
Richard Kent BellmarLPL Financial LLCNational Planning Corporation$2611-29-2017
Robert John O'Neal Sr.LPL Financial LLCNational Planning Corporation$2511-29-2017
Peter E. JochemsLPL Financial LLCNational Planning Corporation$2511-29-2017
Grady William BolesLPL Financial LLCNational Planning Corporation$1011-29-2017
Steven Mike ReedLPL Financial LLCNational Planning Corporation$1011-29-2017
Glenn Tremaine GroshLPL Financial LLCNational Planning Corporation$1011-29-2017
Keri Irene PughLPL Financial LLCNational Planning Corporation$1011-29-2017
Robert Donald Deister IILPL Financial LLCNational Planning Corporation11-29-2017
David Alan SmithLPL Financial LLCNational Planning Corporation11-29-2017
Michael Douglass FrostLPL Financial LLCNational Planning Corporation11-29-2017
Abraheem YameenLPL Financial LLCNational Planning Corporation11-29-2017
James A. O'NealLPL Financial LLCNational Planning Corporation11-29-2017
Leonard Wade FrisbieLPL Financial LLCNational Planning Corporation11-29-2017
Laura Irene CavanaughLPL Financial LLCNational Planning Corporation11-29-2017
Bernadette O. BifanoLPL Financial LLCNational Planning Corporation11-29-2017
Melodie Charlene ScalfLPL Financial LLCNational Planning Corporation11-29-2017
Constance Olga PappasCambridge Investment Research, Inc.National Planning Corporation10-17-2017
Jeffrey Brian MarksCetera Advisors LLCNational Planning Corporation$5010-12-2017
Brannon HertelParkland Securities, LLCNational Planning Corporation06-23-2017
Gregory H. NealRoyal Alliance Associates, Inc.National Planning Corporation03-10-2017
Christopher Prentiss QuebedeauCetera Advisors LLCNational Planning Corporation05-13-2014
Sean Michael LawsVoya Financial Advisors, Inc.National Planning Corporation08-16-2013

Showing 1 to 24 of 24 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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