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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Latest moves

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Adviser(s) Firm joining Firm leaving AUM ($M) Date
Elizabeth Ann WorthingtonNorthwestern Mutual Investment Services, LLC1851 Securities, Inc09-17-2013
Jay Michael SmallWoodbury Financial Services, Inc.1st Global Capital Corp.$111-06-2018
George Julius Moeschlin IIINational Planning Corporation1st Worldwide Financial Partners, LLC06-13-2013
Simon John McdonaldWaddell & ReedA.G.P. / Alliance Global Partners07-16-2015
Emilio James AnnunziatoLPL Financial LLCA.G.P. / Alliance Global Partners05-21-2014
Lewis Lee KasowitzMorgan StanleyA.G.P. / Alliance Global Partners$10007-19-2013
Frank BaldoPruco Securities, LLC.A.G.P. / Alliance Global Partners11-07-2011
Nathan Richardson Allen IIIWarisan Capital ManagementA.L. Stuart Investments, LLC06-06-2017
Stephen Campbell SteinthalFieldpoint Private Securities, LLCAcademy Securities, Inc.12-11-2014
Robert Clifford HavensCommonwealth Financial NetworkAccess Financial Group, Inc.04-01-2010
Kobina Gyesi HaganLantern Investments, Inc.Adirondack Trading Group LLC10-05-2012
Lynn S. VerrilliAffinity Financial Solutions, LLCAdvanced Investment Strategies, Ltd.10-15-2014
Ronald Elwood Williams Jr.SSN Advisory, Inc.AdviceOne Advisory Services, LLC09-11-2017
James Eric WagonerNewbridge Securities CorporationAdvisory Group Equity Services Ltd.$5008-10-2018
Alexander Vlad YelenskyA.G.P. / Alliance Global PartnersAEGIS CAPITAL CORP.05-01-2019
Alexander Vlad YelenskyA.G.P. / Alliance Global PartnersAegis Capital Corp.05-01-2019
David Mitchell HalperinR. F. Lafferty & Co., Inc.Aeon Capital Inc04-05-2019
Thomas Edward SheaStellam Advisors LLCAHC Advisors, Inc.06-06-2017
Robert FavaWestport Capital Markets, LLCAlexander Capital, L.P.01-10-2017
Gregory Dayton MillerUBS Financial Services Inc.AllianceBernstein L.P.$101-29-2009
James Clarke BarlowCetera Financial Specialists LLCAllstate Financial Services, LLC03-21-2018
Adam Alan RothmanMML Investors Services, LLCAllstate Financial Services, LLC06-20-2017
Paul Richard Vegiard Jr.Santander Securities LLCAllstate Financial Services, LLC03-31-2016
Ryan Mosher ReynoldsJ.P. Morgan Securities LLCAllstate Financial Services, LLC12-11-2014
John Daniel PintonState Farm VP Management Corp.Allstate Financial Services, LLC08-16-2010
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Showing 1 to 25 of 2,301 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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