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

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Adviser(s) Firm joining Firm leaving AUM ($M) Date
Samuel B Urso IIILPL Financial LLCNorthwestern Mutual Investment Services, LLC11-20-2018
Erin Renee Watkins56 Capital Partners, LtdNorthwestern Mutual Investment Services, LLC01-29-2018
Derek Jacob Martin56 Capital Partners, LtdNorthwestern Mutual Investment Services, LLC01-24-2018
Richard Eugene SchumakerThe Leaders Group, Inc.Northwestern Mutual Investment Services, LLC$112-01-2017
Rebecca Lynn ClauerAXA Advisors, LLCNorthwestern Mutual Investment Services, LLC11-22-2017
Charles Thomas MarcianoThe Leaders Group, Inc.Northwestern Mutual Investment Services, LLC$1009-19-2017
Anthony J LeeFarmers Financial Solutions, LLCNorthwestern Mutual Investment Services, LLC08-22-2017
Christopher CemanStrategic Advisers LLCNorthwestern Mutual Investment Services, LLC03-30-2017
Steven Karklins MoffatStrategic Advisers LLCNorthwestern Mutual Investment Services, LLC01-09-2017
Claire Noel AndersonSII Investments, Inc.Northwestern Mutual Investment Services, LLC08-11-2016
William James BradfordMerrill Lynch, Pierce, Fenner & Smith IncorporatedNorthwestern Mutual Investment Services, LLC06-23-2016
Timothy John EdgarRaymond James Financial Services, Inc.Northwestern Mutual Investment Services, LLC03-03-2016
Nesochi Jay AzubuikeWells Fargo Clearing Services, LLCNorthwestern Mutual Investment Services, LLC02-08-2016
Dan Easterly SwensonAmeriprise Financial Services, Inc.Northwestern Mutual Investment Services, LLC01-05-2016
Roger Lawrence PierceFirst Financial Equity CorporationNorthwestern Mutual Investment Services, LLC09-01-2015
Sherri Lyn GilliganFirst Financial Equity CorporationNorthwestern Mutual Investment Services, LLC09-01-2015
Gregory Cooling Muir Jr.BancWest Investment Services, Inc.Northwestern Mutual Investment Services, LLC08-14-2015
Sean Patrick FitzgeraldPark Avenue Securities LLCNorthwestern Mutual Investment Services, LLC08-10-2015
Christopher Jacob BarkerMML Investors Services, LLCNorthwestern Mutual Investment Services, LLC07-20-2015
Nick Ryan HerrboldtState Farm VP Management Corp.Northwestern Mutual Investment Services, LLC07-14-2015
Pamela Anderson ClausRaymond James Financial Services, Inc.Northwestern Mutual Investment Services, LLC05-14-2015
John Calloway Moore SlotaAXA Advisors, LLCNorthwestern Mutual Investment Services, LLC04-28-2015
Steven William HarpMML Investors Services, LLCNorthwestern Mutual Investment Services, LLC$104-02-2015
Desmond Jermaine DimondMML Investors Services, LLCNorthwestern Mutual Investment Services, LLC03-06-2015
Eric Martin JacobsMML Investors Services, LLCNorthwestern Mutual Investment Services, LLC$102-25-2015
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Showing 1 to 25 of 53 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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