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
Lemond Arthur PontonNorthwestern Mutual Investment Services, LLCAXA Advisors, LLC01-07-2019
David K HyunNorthwestern Mutual Investment Services, LLCLincoln Financial Advisors Corporation$10005-19-2017
Andrew Scott HammNorthwestern Mutual Investment Services, LLCWells Fargo Clearing Services, LLC04-21-2017
Ryan C MasonNorthwestern Mutual Investment Services, LLCE*TRADE Securities LLC12-07-2016
Lisa Jones TurnageNorthwestern Mutual Investment Services, LLCWells Fargo Clearing Services, LLC11-17-2016
David Randall LesterNorthwestern Mutual Investment Services, LLCWells Fargo Clearing Services, LLC10-21-2016
Joshua Phillip FergusonNorthwestern Mutual Investment Services, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated07-13-2016
Robert Abraham SalehzadehNorthwestern Mutual Investment Services, LLCCreditex Securities Corporation04-06-2016
Jessica Michelle HolteNorthwestern Mutual Investment Services, LLCLPL Financial LLC12-22-2015
Stephen Trent GilbertNorthwestern Mutual Investment Services, LLCCape Securities Inc.$10006-03-2015
Blake Austin KahnNorthwestern Mutual Investment Services, LLCMorgan Stanley03-19-2015
Victoria Lynn GrahamNorthwestern Mutual Investment Services, LLCRaymond James & Associates, Inc.04-04-2014
Jason Lee ZaffosNorthwestern Mutual Investment Services, LLCPFS Investments Inc.01-28-2014
Paul Douglas King IINorthwestern Mutual Investment Services, LLCPark Capital Group, Inc.10-15-2013
Michael Daniel MartinNorthwestern Mutual Investment Services, LLCState Farm VP Management Corp.01-08-2013
Rodney J ParivechioNorthwestern Mutual Investment Services, LLCNeonet Securities, Inc.03-29-2012
Fugitt Zachry YoungNorthwestern Mutual Investment Services, LLCBlackstone Advisory Partners L.P.09-08-2011
Mary Locke MacateeNorthwestern Mutual Investment Services, LLCFidelity Brokerage Services LLC05-05-2011
Kecia Ann CunninghamNorthwestern Mutual Investment Services, LLCSunTrust Investment Services, Inc.04-05-2011
Robert Aaron RodriguezNorthwestern Mutual Investment Services, LLCChase Investment Services Corp.12-01-2010
Marie Bernadette GirvinNorthwestern Mutual Investment Services, LLCTransAm Securities, Inc.10-05-2010
Robert Gregory DietrichNorthwestern Mutual Investment Services, LLCWells Fargo Clearing Services, LLC02-18-2010
Joshua Mark EisenbergNorthwestern Mutual Investment Services, LLCTD Ameritrade Investment Management, LLC$5009-25-2009
Miranda Gayle WileyNorthwestern Mutual Investment Services, LLCBB&T Investment Services, Inc.06-03-2009
Faye Michael SykesNorthwestern Mutual Investment Services, LLCEdward Jones05-15-2009
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Showing 1 to 25 of 26 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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