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

Filters

Adviser(s) Firm joining Firm leaving AUM ($M) Date
Zachary P KavanaghInterCapital LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated07-19-2019
Barbara Barrio BecknerLPL Financial LLCEdward Jones$15007-17-2019
Mark Alan HaennyLPL Financial LLCCetera Advisors LLC$5007-11-2019
Andrew A. OconnorCambridge Investment Research, Inc.Personal Capital Advisors Corporation07-08-2019
Tony James WittrockRaymond James Financial Services, Inc.Wells Fargo Clearing Services, LLC$5007-02-2019
Lisa Ann CowanSecurities America, Inc.Cambridge Investment Research, Inc.07-02-2019
Sean WestbrookStifel, Nicolaus & Company, IncorporatedFSC Securities Corporation$5506-28-2019
Sean Edward Andrew WestbrookStifel, Nicolaus & Company, IncorporatedFSC Securities Corporation$5006-28-2019
Wayne Edward BernardoColorado Financial Service CorporationSecurities America, Inc.06-28-2019
Ryan MolloyLPL Financial LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated06-28-2019
John Alberto PistilliForecast Capital ManagementMorgan Stanley06-21-2019
Chad HeberlyAmeriprise Financial Services, Inc.Stifel, Nicolaus & Company, Incorporated06-21-2019
Fermin John Padilla Jr.Cascade Investment Group, Inc.UBS Financial Services Inc.$5006-20-2019
David Reid Pringle Jr.Pruco Securities, LLC.LPL Financial LLC06-17-2019
Ryan Charles StoutTheory FinancialTIAA-CREF Individual & Institutional Services, LLC06-17-2019
Andrew Glen HahnHahn Financial Services, LLCJ.W. Cole Advisors, Inc.06-14-2019
Thomas Emanuel WolfOppenheimer & Co. Inc.Morgan Stanley$1,00006-13-2019
John G BaldassariMorgan StanleyWells Fargo Clearing Services, LLC$10006-07-2019
J Kim SimmonsLPL Financial LLCAmeriprise Financial Services, Inc.$10006-07-2019
Jamie Kenneth MoultonRaymond James & Associates, Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$5006-07-2019
James Edward GraciaWells Fargo Clearing Services, LLCU.S. Bancorp Investments, Inc.$2506-07-2019
Matthew David KothRaymond James & Associates, Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated06-07-2019
Douglas Allan BehnfieldMorgan StanleyUBS Financial Services Inc.06-07-2019
Rebekah Renee Von BergLPL Financial LLCWaddell & Reed06-03-2019
Edward John FrellyLPL Financial LLCWaddell & Reed06-03-2019
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Showing 1 to 25 of 199 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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