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

Results filtered by


Adviser(s) Firm joining Firm leaving AUM ($M) Date
Ty BongiovanniSecurities America, Inc.National Planning Corporation$110-20-2017
David Michael CaragliorAmeriprise Financial Services, Inc.MML Investors Services, LLC$5010-19-2017
Michael Patrick DevivoAmeriprise Financial Services, Inc.MML Investors Services, LLC$5010-19-2017
Michael Thomas DelgalloAmeriprise Financial Services, Inc.MML Investors Services, LLC10-19-2017
Lawrence Jay AglerSecurities America, Inc.National Planning Corporation$5010-17-2017
Charles Malcolm StackRoyal Alliance Associates, Inc.National Planning Corporation10-16-2017
Lisa Marie ValerioRoyal Alliance Associates, Inc.National Planning Corporation$1010-16-2017
Matthew WinthropAegis Capital Corp.RBC Capital Markets, LLC$110-16-2017
Brian McqueeneyLPL FinancialCetera$5110-16-2017
Dennis Michael TracyAmeriprise Financial Services, Inc.Oppenheimer & Co. Inc.$15010-13-2017
Thomas Patrick SnaydPurkiss Capital Advisors, LLCCommonfund Securities, Inc.10-12-2017
John Keith MauraKey Investment Services LLCCitizens Securities, Inc.10-10-2017
Marty Carroll, Jennifer CarrollRaymond JamesBank of America Merrill Lynch$16010-09-2017
Keith Jonathan WaldmanMML Investors Services, LLCPrincipal Securities, Inc.10-06-2017
Gary John SchumacherDavid Lerner Associates, Inc.Regal Securities, Inc.10-05-2017
George LombardiWells Fargo Clearing Services, LLCUBS Financial Services Inc.$10009-29-2017
Jeffrey Ghashghai DarienMerrill Lynch, Pierce, Fenner & Smith IncorporatedCharles Schwab & Co., Inc.$109-29-2017
Stephen BenincasaWells Fargo Clearing Services, LLCUBS Financial Services Inc.$15009-29-2017
Prasad Sanket OakAllstate Financial Services, LLCAXA Advisors, LLC09-28-2017
Arthur P Scolari Jr.Lincoln Financial Advisors CorporationMML Investors Services, LLC09-21-2017
Sean Robert SullivanNational Securities CorporationVoya Financial Advisors, Inc.$109-18-2017
Kevin Michael PezzeInfinex Investments, Inc.Key Investment Services LLC09-13-2017
Ronald Elwood Williams Jr.SSN Advisory, Inc.AdviceOne Advisory Services, LLC09-11-2017
Matthew Rowe SweetInfinex Investments, Inc.Raymond James Financial Services, Inc.$1009-05-2017
Christopher Ryan MacphersonJanney Montgomery Scott LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$5008-31-2017
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Showing 301 to 325 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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