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


Adviser(s) Firm joining Firm leaving AUM ($M) Date
Kate Sophia ZienCommonwealth Financial NetworkAmeriprise Financial Services, Inc.09-28-2018
Nicole Alexis HigginsWells Fargo Clearing Services, LLCAmeriprise Financial Services, Inc.12-05-2017
Albert Michael D'AmatoWestport Capital Markets, LLCAmeriprise Financial Services, Inc.05-17-2017
Susan Lynn RichardsRound Rock Advisors LLCAmeriprise Financial Services, Inc.04-21-2017
John Robert PlanellRound Rock Advisors LLCAmeriprise Financial Services, Inc.04-21-2017
Laurel Marie MathewsRound Rock Advisors LLCAmeriprise Financial Services, Inc.04-21-2017
William Harvey ConnerLPL Financial LLCAmeriprise Financial Services, Inc.07-08-2016
Stephen John CarusoBelpointe Asset Management LLCAmeriprise Financial Services, Inc.06-21-2016
Erik Alexander LillibridgeLincoln Financial Advisors CorporationAmeriprise Financial Services, Inc.02-03-2014
Leslie Byron WilliamsMorgan StanleyAmeriprise Financial Services, Inc.12-13-2013
Peter James StockwellAllstate Financial Services, LLCAmeriprise Financial Services, Inc.12-29-2010
Lynn Ann ScullyStifel, Nicolaus & Company, IncorporatedAmeriprise Financial Services, Inc.05-28-2010
Erica HenstAllstate Financial Services, LLCAmeriprise Financial Services, Inc.01-06-2009
Michael TavernerLPL Financial LLCAmeriprise Financial Services, Inc.$1006-13-2019
Kristen Emeline KaniaCommonwealth Financial NetworkAmeriprise Financial Services, Inc.$1001-26-2018
Bert Thomas BowlerPurshe Kaplan Sterling InvestmentsAmeriprise Financial Services, Inc.$1004-21-2017
Dorothy J. DembowskiCitigroup Global Markets Inc.Ameriprise Financial Services, Inc.$1006-14-2010
Gary William Paul Jr.Lincoln Financial Advisors CorporationAmeriprise Financial Services, Inc.$2505-21-2014
James David McManusLPL Financial LLCAmeriprise Financial Services, Inc.$2504-22-2014
Mark Joseph WhiteLPL Financial LLCAmeriprise Financial Services, Inc.$5006-13-2019
James John ZienCommonwealth Financial NetworkAmeriprise Financial Services, Inc.$10009-28-2018

Showing 1 to 21 of 21 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 and can not be resold, republished, redistributed, sublicensed, or copied for any other use without the permission of InvestmentNews LLC.


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