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
Steven Clarence Flowers Jr.LPL Financial LLCPrincipal Securities, Inc.$1010-31-2019
Jason Paul HomecLPL Financial LLC5th Global Advisors Inc09-03-2019
Katherine Margaret SchafferLPL Financial LLC3rd Global Advisors Inc09-03-2019
Kathryn Eugenia ReddenLPL Financial LLC2nd Global Advisors Inc$1,00009-03-2019
Philip Joseph EricksonLPL Financial LLC4th Global Advisors Inc09-03-2019
Scott Parker InabnetLPL Financial LLC1st Global Capital Corp.09-03-2019
Eric Grant SchultzLPL Financial LLCHD Vest Investment Services06-18-2019
Susan Ann LombardoLPL Financial LLCWells Fargo Advisors Financial Network, LLC$10006-17-2019
Tobin Christopher AndersonLPL Financial LLCEdward Jones06-06-2019
Kenneth B. ButlerLPL Financial LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated05-29-2019
Caleb A. TuckerLPL Financial LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated05-21-2019
Michael James StruckmanLPL Financial LLCMorgan Stanley$10005-07-2019
James William SpoonerLPL Financial LLCAmeriprise Financial Services, Inc.12-17-2018
William Rothwell WilcoxLPL Financial LLCCetera Investment Services LLC12-17-2018
Noah Hunter ReichertLPL Financial LLCMML Investors Services, LLC12-14-2018
Bryant Charles NorthLPL Financial LLCCadaret, Grant & Co., Inc.11-30-2018

Showing 1 to 16 of 16 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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