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
Janine Diane StubbsVALIC Financial Advisors, Inc.AXA Advisors, LLC$5001-23-2009
James Dalton Spell IIIWoodbury Financial Services, Inc.AXA Advisors, LLC10-22-2009
Andrea KeanGoldman Sachs & Co.AXA Advisors, LLC04-12-2010
Dean Thomas LarsonMerrill Lynch, Pierce, Fenner & Smith IncorporatedAXA Advisors, LLC11-29-2010
Claudia Cepero RosOneAmerica Securities, Inc.AXA Advisors, LLC06-01-2011
Carlos TraviesoThrivent Investment Management Inc.AXA Advisors, LLC03-06-2012
Barrington Leonard MinnisMorgan StanleyAXA Advisors, LLC07-23-2012
Craig NovekMML Investors Services, LLCAXA Advisors, LLC09-10-2012
Justin Travis HardyLincoln InvestmentAXA Advisors, LLC01-02-2013
William Nathan ShorackTransamerica Financial Advisors, IncAXA Advisors, LLC01-28-2013
David Alan PikopTransamerica Financial Advisors, IncAXA Advisors, LLC$1001-31-2013
Arnaldo Atilio CalderonWells Fargo Clearing Services, LLCAXA Advisors, LLC03-12-2013
Gary McPhersonMorgan StanleyAXA Advisors, LLC04-15-2013
Maria L. MoralesAllstate Financial Services, LLCAXA Advisors, LLC05-30-2013
Forrest Britt BarrPlanMember Securities CorporationAXA Advisors, LLC06-03-2013
Christopher Wayne DoddRaymond James Financial Services, Inc.AXA Advisors, LLC$5006-27-2013
Franklin Krone Lentz Jr.Raymond James Financial Services, Inc.AXA Advisors, LLC06-27-2013
Elchin Akram BagirovJ.P. Morgan Securities LLCAXA Advisors, LLC07-09-2013
Andrew James RudzinskiMerrill Lynch, Pierce, Fenner & Smith IncorporatedAXA Advisors, LLC10-03-2013
Daniel AsoreyJ.P. Morgan Securities LLCAXA Advisors, LLC$2501-15-2014
Brian Jonathan LacrosseGWN Securities Inc.AXA Advisors, LLC03-03-2014
Ryan John MetzgerGWN Securities Inc.AXA Advisors, LLC03-17-2014
John Baptist DuchaineGWN Securities Inc.AXA Advisors, LLC03-27-2014
Margaret Linda EklofVALIC Financial Advisors, Inc.AXA Advisors, LLC$1005-08-2014
Howard Lawrence MashSummit Brokerage Services, Inc.AXA Advisors, LLC07-11-2014
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Showing 1 to 25 of 61 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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