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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Adviser(s) Firm joining Firm leaving AUM ($M) Date
Peter Carroll ThompsonLPL Financial LLCNational Planning Corporation$2511-29-2017
Richard Alfred LamoreQuestar Capital CorporationAmeritas Investment Corp.11-29-2017
Richard Elliott CloughLPL Financial LLCNational Planning Corporation11-29-2017
Scott Edward FluetLPL Financial LLCNational Planning Corporation11-29-2017
Siamak Ghajar DowlatshahiLPL Financial LLCNational Planning Corporation$111-29-2017
Stephen Walter PendergastRBC Capital Markets, LLCWells Fargo Clearing Services, LLC$25311-29-2017
Steven John KessesLPL Financial LLCNational Planning Corporation11-29-2017
Gia SyracuseKey Investment Services LLCCitizens Securities, Inc.11-21-2017
Nathaniel A. RobertsKey Investment Services LLCCitizens Securities, Inc.11-20-2017
Theresa Marie DalyNationwide Securities, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated11-16-2017
Craig Bernard CacasePrivate Advisor Group, LLCWaddell & Reed11-13-2017
Arnold Roy BlumenfeldAmeriprise Financial Services, Inc.Wells Fargo Clearing Services, LLC$1,00011-10-2017
Joseph Philip AndrianoMerrill Lynch, Pierce, Fenner & Smith IncorporatedWells Fargo Clearing Services, LLC11-10-2017
Gary Stephen RadlerSecurities America, Inc.National Planning Corporation$111-09-2017
Harry A KentSecurities America, Inc.National Planning Corporation$1011-09-2017
Stephen Angelo MarcarelliSecurities America, Inc.National Planning Corporation$1011-07-2017
David Scott ChorneySecurities America, Inc.National Planning Corporation$111-02-2017
William Francis Grant IVAmeriprise Financial Services, Inc.MML Investors Services, LLC11-02-2017
Edward Carl AnnunziataSecurities America, Inc.National Planning Corporation$1011-01-2017
Gregg Thomas MaleriAmeriprise Financial Services, Inc.MML Investors Services, LLC$5011-01-2017
Joseph Enda NolanAmeriprise Financial Services, Inc.MML Investors Services, LLC11-01-2017
Theodore William Hintz Jr.Securities America, Inc.National Planning Corporation11-01-2017
Brett Daniel DolanSecurities America, Inc.National Planning Corporation10-31-2017
Edward Charles Banks Jr.Securities America, Inc.National Planning Corporation$2510-31-2017
Eric Jason ZimmermanSecurities America, Inc.National Planning Corporation$5010-31-2017
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Showing 251 to 275 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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