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
Louis James KnoxLPL Financial LLCAssociated Securities Corp.09-08-2009
Arnold Ralph McFarlaneLPL Financial LLCAssociated Securities Corp.09-08-2009
Guillermo BicasOppenheimer & Co. Inc.Atlas One Financial Group, LLC06-09-2011
David Kennett BarrusBuckman, Buckman & Reid, Inc.Atlas One Financial Group, LLC06-03-2011
William Daniel CoogleNewbridge Securities CorporationAurora Capital LLC03-01-2019
Caterina Maria GomezJ.P. Morgan Securities LLCAustin Atlantic Capital Inc.01-16-2013
Anthony ScicchitanoMerrill Lynch, Pierce, Fenner & Smith IncorporatedAustin Atlantic Capital Inc.06-30-2011
Robert Ashlin RoseberryPeak Brokerage Services, LLCAvalon Investment & Securities Group, Inc.07-24-2018
Tripp Crawford HaleHale & Doerr Wealth Management LLCAvantax Investment Services, Inc.10-23-2019
Mary Elizabeth McAlpineCalton & Associates, Inc.Avantax Investment Services, Inc.10-09-2019
Bijan Mohseni, David TownsendRaymond JamesAxa Advisors$15008-17-2015
Abel MolinaLPL Financial LLCAXA Advisors, LLC10-09-2019
Chad P. MichaelsSpyrnal Wealth ManagementAXA Advisors, LLC05-14-2019
Kara Suzanne ReardonNational Securities CorporationAXA Advisors, LLC03-20-2019
Keith Roger HullumWoodbury Financial Services, Inc.AXA Advisors, LLC$1002-28-2019
David Angelo CaporaliGWN Securities Inc.AXA Advisors, LLC01-24-2019
Shireen S. SharmaGWN Securities Inc.AXA Advisors, LLC10-04-2018
Paul Murdock GreenAmerican Portfolios Financial Services, Inc.AXA Advisors, LLC$15008-31-2018
Bethany Louise BurgessJ.P. Morgan Securities LLCAXA Advisors, LLC07-10-2018
Alejandro S. MasferrerLincoln Financial Securities CorporationAXA Advisors, LLC$1007-09-2018
Jane Ballard FontaineAmeriprise Financial Services, Inc.AXA Advisors, LLC$5006-21-2018
David Alan PritchardCetera Investment Services LLCAXA Advisors, LLC03-08-2018
Marie Catherine Fikus BaumgartnerPruco Securities, LLC.AXA Advisors, LLC01-11-2018
Jeffrey Wayne OglanderMML Investors Services, LLCAXA Advisors, LLC01-02-2018
Derek William SichlerJ.W. Cole Financial, Inc.AXA Advisors, LLC11-07-2017
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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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