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
William George DobbinsIndependent Financial Group, LLCLPL Financial LLC$1011-15-2018
Gary Halter, Benjamin Halter, Sharland BakerJanney Montgomery ScottRBC Wealth Management$14011-12-2018
Gary Steven HalterJanney Montgomery Scott LLCRBC Capital Markets, LLC$10011-09-2018
Gerald Augustus KalishLPL Financial LLCCetera Advisors LLC11-09-2018
James HylandCambridge Investment Research, Inc.Ohanesian / Lecours, Inc.$2511-07-2018
Ronald Gerard LecoursCambridge Investment Research, Inc.Ohanesian / Lecours, Inc.$50011-07-2018
Jay Michael SmallWoodbury Financial Services, Inc.1st Global Capital Corp.$111-06-2018
Brett Lee HowardHoward Wealth Management, LLCAPW Capital, Inc.11-05-2018
Justin Scott HowardHoward Wealth Management, LLCAPW Capital, Inc.11-05-2018
John David BrazelHD Vest Investment ServicesInvestacorp, Inc.11-02-2018
Carl Austin LaurettiCitizens Securities, Inc.CUNA Brokerage Services, Inc.10-23-2018
Cy Thomas HessSecurities America, Inc.MML Investors Services, LLC$10010-22-2018
James MunroMorgan StanleyAXA Advisors, LLC10-22-2018
Kathi Delacy BoratkoTriad Advisors LLCEF Legacy Securities, LLC10-22-2018
Daniel David JonkerFieldpoint Private Securities, LLCJ.P. Morgan Securities LLC10-15-2018
Thomas Dante LewisLPL Financial LLCCUSO Financial Services, L.P.$5010-12-2018
Francesjoy Abuel CaldwellWells Fargo Clearing Services, LLCJ.P. Morgan Securities LLC10-11-2018
Kyle Adam BehnkeSaybrus Equity Services, LLCSammons Financial Network, LLC10-09-2018
Mark Allen GantnerCommonwealth Financial NetworkWells Fargo Clearing Services, LLC$5010-05-2018
Peter Gene YacovoneCommonwealth Financial NetworkWells Fargo Clearing Services, LLC$1,00010-05-2018
James John ZienCommonwealth Financial NetworkAmeriprise Financial Services, Inc.$10009-28-2018
Christopher Jacob DibbleMorgan StanleyCharles Schwab & Co., Inc.09-27-2018
Louis Ernest RizzoMorgan StanleyAXA Advisors, LLC$5009-27-2018
Ryan D. HansonPruco Securities, LLC.Nationwide Securities, LLC09-25-2018
MICHAEL J. RIOLOMountain Vista Wealth ManagementRaymond James Financial Services, Inc.09-14-2018
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Showing 76 to 100 of 2,307 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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