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
Brian William LaughlinKestra Investment Services, LLCUBS Financial Services Inc.$4505-01-2019
Eugene Brendan McCarthy IIIKestra Investment Services, LLCUBS Financial Services Inc.$105-01-2019
Klaus Dieter MiodovCalton & Associates, Inc.Capital Financial Services, Inc.05-01-2019
Austin Robert MurphyLPL Financial LLCSuntrust Investment Services, Inc.05-01-2019
Leonard Marion Spalding IIIGWN Securities Inc.Lincoln Investment$2504-29-2019
Gary Stephen HuselHighTower Securities, LLCTD Ameritrade Investment Management, LLC04-24-2019
Kyle Alan HowellCalton & Associates, Inc.Royal Alliance Associates, Inc.$15004-22-2019
Carlos O. Saitcevsky GuerreroIntercam Securities, Inc.Wells Fargo Clearing Services, LLC04-22-2019
Richard A De LucaMorgan StanleyMerrill Lynch, Pierce, Fenner & Smith Incorporated$104-18-2019
Ryan M. SchackStifel, Nicolaus & Company, IncorporatedMerrill Lynch, Pierce, Fenner & Smith Incorporated04-17-2019
Travis Garrett WichmanRaymond James Financial Services, Inc.Morgan Stanley$5004-17-2019
James Thomas NelsonJ.W. Cole Financial, Inc.Global Financial Private Capital, LLC$10004-16-2019
Martin WeissA.G.P. / Alliance Global PartnersNational Securities Corporation$2504-16-2019
Paul Timothy GardnerJ.W. Cole Financial, Inc.Global Financial Private Capital, LLC$2504-16-2019
Robert Allan Martinez Jr.J.W. Cole Financial, Inc.G.F. Investment Services, LLC$104-16-2019
Melissa A HinesCambridge Investment Research, Inc.Park Avenue Securities LLC$1004-15-2019
John Fulton Hargraves IIIBrokers International Financial Services, LLC.J. W. Cole Advisors, Inc.$104-15-2019
John Charles BarnesWilmington Capital Securities, LLCRBC Capital Markets, LLC$5004-15-2019
Mahesh RoopnarineJ.P. Morgan Securities LLCWells Fargo Clearing Services, LLC04-09-2019
Allen John HegenerKestra Investment Services, LLCStifel, Nicolaus & Company, Incorporated$5004-08-2019
David Andrew HatzMorgan StanleyUBS Financial Services Inc.$5003-29-2019
Robert Custer GenselMorgan StanleyUBS Financial Services Inc.$5003-29-2019
Frank Christopher SardoSunTrust Investment Services, Inc.Edward Jones$15003-28-2019
Steven R BellMorgan StanleyStoever, Glass & Company Inc.$5003-28-2019
Doris Wynnette CheekThrivent Investment Management Inc.Edward Jones$2503-27-2019
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Showing 51 to 75 of 10,851 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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