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
Alan Howard BleckerAmeriprise Financial Services, Inc.SII Investments, Inc.$25001-22-2010
ANTHONY EDWIN UNTERSEEInvestacorp, Inc.SII Investments, Inc.$50008-22-2014
Charles Ernest Proutey Jr.Investacorp, Inc.SII Investments, Inc.08-22-2014
Debra Ann BectalSecurities America, Inc.SII Investments, Inc.03-06-2014
Edward Arthur KlugInvestacorp, Inc.SII Investments, Inc.$50009-30-2014
James Allen MorinCetera Investment Services LLCSII Investments, Inc.01-29-2016
James Burleigh TollertonSecurities America, Inc.SII Investments, Inc.$10003-06-2014
James Donald DemeyerRaymond James Financial Services Advisors, IncSII Investments, Inc.01-02-2009
Jay Winston BermanSecurities America, Inc.SII Investments, Inc.03-06-2014
Karl Michael McLeadJ.W. Cole Financial, Inc.SII Investments, Inc.$50007-14-2017
Lee Alan RosenblumLPL Financial LLCSII Investments, Inc.$50012-08-2017
Lucinda Gay SolteszChase Investment Services Corp.SII Investments, Inc.06-07-2010
Pam Mcgarity DoughtyAmeriprise Financial Services, Inc.SII Investments, Inc.$20011-17-2017
Sonya Ja'Net GreenidgeMorgan StanleySII Investments, Inc.10-22-2010
Steven David KurlandJ.W. Cole Financial, Inc.SII Investments, Inc.10-31-2017
Wesley Alan HackettValMark Securities, Inc.SII Investments, Inc.$10001-21-2016
William Charles SinesKalos Capital, Inc.SII Investments, Inc.08-24-2015
William Joseph WalshLPL Financial LLCSII Investments, Inc.$50001-04-2016
William Russell WhitemanJ.W. Cole Financial, Inc.SII Investments, Inc.07-14-2017

Showing 1 to 19 of 19 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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