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
Kathleen Elizabeth OwingsJ.W. Cole Financial, Inc.New England Securities$112-01-2014
Peter D HorwitchJ.W. Cole Financial, Inc.New England Securities$1612-01-2014
Brady Scott MullenVSR Financial Services, Inc.New England Securities04-01-2014
Patrick John BrannanCetera Advisors LLCNew England Securities10-21-2013
Nohemy Yolanda MontesCetera Advisors LLCNew England Securities08-09-2013
Leslie Seawell GarskeAXA Advisors, LLCNew England Securities02-05-2013
Mark R LyonsCetera Advisors LLCNew England Securities12-11-2012
Matthew Earl SteinkeWaddell & ReedNew England Securities01-18-2012
Jeffrey Michael ThompsonLPL Financial LLCNew England Securities$5011-18-2011
John D BaldwinAXA Advisors, LLCNew England Securities07-13-2011
Jeffrey Joseph KopinaBBVA Compass Investment Solutions, Inc.New England Securities05-24-2011
Allan Dean WarpnessProEquities, Inc.New England Securities06-22-2010
Thomas Frederick Mathews Jr.Key Investment Services LLCNew England Securities06-23-2009

Showing 1 to 13 of 13 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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