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
Mark Ferris DempseyICMA-RC Services, LLCNavy Federal Brokerage Services, LLC$10011-07-2019
Noah E. RosenICMA-RC Services, LLCGuggenheim Funds Distributors, LLC04-04-2019
Kathleen Marie FindeisenICMA-RC Services, LLCGWFS Equities, Inc.05-25-2018
Matthew David GilbrideICMA-RC Services, LLCVoya Financial Advisors, Inc.$50009-20-2017
Jason Lynn BoydICMA-RC Services, LLCJ.P. Morgan Securities LLC03-21-2017
Lisa Lashall Burks-WilsonICMA-RC Services, LLCTIAA-CREF Individual & Institutional Services, LLC11-04-2016
Kathleen Lin Patterson GeorgeICMA-RC Services, LLCCalvert Investment Management, Inc.$25011-09-2015
Angel Maria HawthorneICMA-RC Services, LLCGWFS Equities, Inc.$10008-26-2015
Zoran Ivan LozoICMA-RC Services, LLCFirst Brokerage America, LLC$25007-28-2015
Steven Arthur HoostalICMA-RC Services, LLCTIAA-CREF Individual & Institutional Services, LLC$10006-30-2015
Isaiah Valentine CarterICMA-RC Services, LLCVanguard Marketing Corporation04-07-2015
Ronald ShapsonICMA-RC Services, LLCNorthwestern Mutual Investment Services, LLC06-02-2014
Philip H. PinkeyICMA-RC Services, LLCMaryland Financial Group, Inc.12-05-2011
Denis NyambiICMA-RC Services, LLCWells Fargo Clearing Services, LLC (Formerly Wells Fargo Advisors, LLC)10-05-2011

Showing 1 to 14 of 14 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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