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

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Adviser(s) Firm joining Firm leaving AUM ($M) Date
Leonard Todd JohnsonSagePoint Financial, Inc.New England Securities02-10-2015
Patrick Ross MaddenINVESTMENT PROFESSIONALS, INC.New England Securities01-02-2015
Peter Brown SchoenbergerMetLife Securities Inc.New England Securities01-02-2015
Susan Schechter WeinblattSecurian Financial Services, Inc.New England Securities11-10-2014
Kenneth William PenceIndependent Financial PartnersNew England Securities10-30-2014
Matthew James HeckAllstate Financial Services, LLCNew England Securities10-13-2014
David Paul GafneyMerrill Lynch, Pierce, Fenner & Smith IncorporatedNew England Securities09-26-2014
Samuel Wilson GriggsSecurities Service Network, LLCNew England Securities09-16-2014
Michael Thomas CurryWells Fargo Clearing Services, LLCNew England Securities08-21-2014
Eric Brian TruvillionPrincipal Securities, Inc.New England Securities$4707-23-2014
Alonzo Felton Barnes Jr.Principal Securities, Inc.New England Securities05-27-2014
Daniel John NeedhamMoors & Cabot, Inc.New England Securities$5005-14-2014
Major David MarksLincoln Financial Advisors CorporationNew England Securities04-04-2014
Jeffery Clarke FabrizioPrincipal Securities, Inc.New England Securities02-20-2014
Keith Anthony GroesbeckPrincipal Securities, Inc.New England Securities02-20-2014
Sagen Richard AugustinPrincipal Securities, Inc.New England Securities$102-19-2014
Karl Tariq LunneyPrincipal Securities, Inc.New England Securities02-18-2014
Robert Brian Fabrizio Sr.Principal Securities, Inc.New England Securities02-18-2014
William Joel Patrick MannixPrincipal Securities, Inc.New England Securities02-18-2014
Victor Louis MullinsCantella & Co., Inc.New England Securities$2502-07-2014
Christopher J SlavenMorgan StanleyNew England Securities02-04-2014
John William PomroyLPL Financial LLCNew England Securities$2511-27-2013
Steven Robert CarterLPL Financial LLCNew England Securities11-27-2013
Troy Dixon TummondLPL Financial LLCNew England Securities11-27-2013
Robert Settimio CupelloInvestacorp, Inc.New England Securities11-01-2013
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Showing 1 to 25 of 73 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 InvestmentNews.com and can not be resold, republished, redistributed, sublicensed, or copied for any other use without the permission of InvestmentNews LLC.

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