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
James William SpoonerLPL Financial LLCAmeriprise Financial Services, Inc.$2512-17-2018
Alexander S GarrettOppenheimer & Co. Inc.Ameriprise Financial Services, Inc.$15012-10-2018
Thomas Arthur SmylieIFS SecuritiesAmeriprise Financial Services, Inc.$5008-07-2018
Samuel Isaac HayesMerrill Lynch, Pierce, Fenner & Smith IncorporatedAmeriprise Financial Services, Inc.08-02-2018
Vanessa J StevensMerrill Lynch, Pierce, Fenner & Smith IncorporatedAmeriprise Financial Services, Inc.03-27-2018
Nicholas Carlyle CampbellMercer Global Advisors Inc.Ameriprise Financial Services, Inc.02-08-2018
Mary Barbara ShaltisChicory WealthAmeriprise Financial Services, Inc.01-10-2018
Jeffrey Scott PanikLPL Financial LLCAmeriprise Financial Services, Inc.$5011-16-2017
Bradford Stanley WalshWells Fargo Clearing Services, LLCAmeriprise Financial Services, Inc.06-29-2017
Donald Westlin Gifford Jr.Dempsey Lord Smith, LLCAmeriprise Financial Services, Inc.$2506-01-2017
Jonathon Richard Mc AdowCambridge Investment Research, Inc.Ameriprise Financial Services, Inc.04-25-2017
Jason SkeltonSunTrust Investment Services, Inc.Ameriprise Financial Services, Inc.03-10-2017
Charles Whitman DavisCape Securities Inc.Ameriprise Financial Services, Inc.$5012-07-2016
Louis Alan GaryDempsey Lord Smith, LLCAmeriprise Financial Services, Inc.$5011-04-2016
Patrick Gerard KeeganRaymond James & Associates, Inc.Ameriprise Financial Services, Inc.05-03-2016
Steven Michael RoffmanIFS SecuritiesAmeriprise Financial Services, Inc.03-29-2016
Andrew Joseph MasseoMerrill Lynch, Pierce, Fenner & Smith IncorporatedAmeriprise Financial Services, Inc.$1012-03-2015
Mary Brantley MadebachWells Fargo Clearing Services, LLCAmeriprise Financial Services, Inc.12-08-2014
Jamie Lovelace WileyUsaa Financial Planning ServicesAmeriprise Financial Services, Inc.11-07-2014
Coleman Troy BenkoLPL Financial LLCAmeriprise Financial Services, Inc.07-30-2014
Eric Nyle JonesCarter, Terry & Company, Inc.Ameriprise Financial Services, Inc.$5002-10-2014
Mahesh Chandra SachdevaPruco Securities, LLC.Ameriprise Financial Services, Inc.01-24-2014
Thomas Edward Smith Jr.Kalos Capital, Inc.Ameriprise Financial Services, Inc.05-30-2013
Matthew Daniel GreeneAllstate Financial Services, LLCAmeriprise Financial Services, Inc.$6105-02-2013
Gurminder Kaur MultaniWells Fargo Clearing Services, LLCAmeriprise Financial Services, Inc.$1,00004-11-2013
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Showing 1 to 25 of 42 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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