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.

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Adviser(s) Firm joining Firm leaving AUM ($M) Date
Jay Michael SmallWoodbury Financial Services, Inc.1st Global Capital Corp.11-06-2018
Lewis Lee KasowitzMorgan StanleyA.G.P. / Alliance Global Partners$10007-19-2013
Stephen Campbell SteinthalFieldpoint Private Securities, LLCAcademy Securities, Inc.12-11-2014
Robert Clifford HavensCommonwealth Financial NetworkAccess Financial Group, Inc.04-01-2010
Robert Gerard Green Sr.FSC Securities CorporationAdvantage Capital Corporation$5002-27-2009
Mark Charles HiginbothamFSC Securities CorporationAdvantage Capital Corporation02-27-2009
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
Robert FavaWestport Capital Markets, LLCAlexander Capital, L.P.01-10-2017
Carl George BulginiFenwick Investments, LLCAllianceBernstein L.P.04-10-2013
Gregory Dayton MillerUBS Financial Services Inc.AllianceBernstein L.P.01-29-2009
Adam Stanley TkaczukSPC Advisors, LLCAlpha Architect03-23-2018
Forrest CloseMerrill Lynch, Pierce, Fenner & Smith IncorporatedAlternative Access Capital, LLC05-29-2015
Todd Andrew HammerPruco Securities, LLC.American Portfolios Financial Services, Inc.$2504-30-2018
Alan Jay BernsteinCentaurus Financial, Inc.American Portfolios Financial Services, Inc.$1005-31-2017
Robert Francis WalshCentaurus Financial, Inc.American Portfolios Financial Services, Inc.05-31-2017
Michael S. Guttadaro Jr.Centaurus Financial, Inc.American Portfolios Financial Services, Inc.05-31-2017
Craig PanarellaPanarella Wealth Management LLCAmerican Portfolios Financial Services, Inc.06-29-2012
Thomas Patrick Collins Jr.Ameriprise Financial Services, Inc.Ameriprise Advisor Services, Inc.10-05-2009
Mark Joseph WhiteLPL Financial LLCAmeriprise Financial Services, Inc.$5006-13-2019
Michael TavernerLPL Financial LLCAmeriprise Financial Services, Inc.$1006-13-2019
James John ZienCommonwealth Financial NetworkAmeriprise Financial Services, Inc.$10009-28-2018
Kate Sophia ZienCommonwealth Financial NetworkAmeriprise Financial Services, Inc.09-28-2018
Kristen Emeline KaniaCommonwealth Financial NetworkAmeriprise Financial Services, Inc.$1001-26-2018
Nicole Alexis HigginsWells Fargo Clearing Services, LLCAmeriprise Financial Services, Inc.12-05-2017
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Showing 1 to 25 of 1,750 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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