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.

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Latest moves

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Adviser(s) Firm joining Firm leaving AUM ($M) Date
Richard Lee Bartholomew IIWealthcare Capital Management LLCAdvicePeriod, LLC06-28-2019
William Roy Herrell IIID.A. Davidson & Co.Allen C. Ewing & Co.06-28-2019
Rodrick Kevin SullivanVALIC Financial Advisors, Inc.Allstate Financial Services, LLC01-08-2019
Peter Andrew HeidenreichVALIC Financial Advisors, Inc.Allstate Financial Services, LLC12-26-2018
Michael L. HinesPruco Securities, LLC.Allstate Financial Services, LLC$5009-25-2018
James William SpoonerLPL Financial LLCAmeriprise Financial Services, Inc.12-17-2018
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
Antan R. WilsonMorgan StanleyAXA Advisors, LLC07-18-2019
Lemond Arthur PontonNorthwestern Mutual Investment Services, LLCAXA Advisors, LLC01-07-2019
Maury Alan ShapiroPurshe Kaplan Sterling InvestmentsAXA Advisors, LLC10-02-2018
Kevin Michael FergusonFerguson Shapiro LLCAXA Advisors, LLC07-23-2018
Bryant Charles NorthLPL Financial LLCCadaret, Grant & Co., Inc.11-30-2018
Raymond Leslie Hammock Jr.Independent Financial Group, LLCCambridge Investment Research, Inc.$10002-28-2019
Patrick Sturmer PaxtonInvestment Planning AdvisorsCambridge Investment Research, Inc.01-02-2019
Joseph B. Samples IIIIFS SecuritiesCambridge Investment Research, Inc.$1007-31-2018
Robin Janet TomsRaymond James Financial Services, Inc.Cantella & Co., Inc.$2505-20-2019
Todd Thomas FricksFortune Financial Services, Inc.Cantella & Co., Inc.01-02-2019
Albert Norris Dashiell Jr.Dempsey Lord Smith, LLCCapital Investment Group, Inc.04-26-2019
Craig William PfauLocust Lane Partners, LPCarswell Investments, LLC10-22-2018
Steven Michael ElefsonIFS SecuritiesCary Street Partners$10001-02-2019
William Douglas AdamsCUNA Brokerage Services, Inc.Cetera Advisors LLC12-14-2018
Patrick G. HojanMerrill Lynch, Pierce, Fenner & Smith IncorporatedCetera Investment Services LLC$15004-24-2019
William Rothwell WilcoxLPL Financial LLCCetera Investment Services LLC12-17-2018
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Showing 1 to 25 of 241 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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