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
Andrew Robert BrommerEdward JonesPrincipal Securities, Inc.09-15-2017
Ann Augusta MerkleyPark Avenue Securities LLCPrincipal Securities, Inc.09-14-2009
Ann Kay SlechtaLPL Financial LLCPrincipal Securities, Inc.08-29-2019
Blayde Duane GardnerLPL Financial LLCPrincipal Securities, Inc.02-06-2019
Bruce D KoutAmeriprise Financial Services, Inc.Principal Securities, Inc.07-29-2014
Caleb James BrownFoster Group, Inc.Principal Securities, Inc.11-12-2014
Caleb Wellington PearsonLPL Financial LLCPrincipal Securities, Inc.08-31-2012
Cole K. JaeschkeEdward JonesPrincipal Securities, Inc.04-13-2017
Craig Andrew ArendtLPL Financial LLCPrincipal Securities, Inc.02-12-2018
Daniel James RickettVoya Financial Advisors, Inc.Principal Securities, Inc.$5006-01-2010
David K. MehmenPruco Securities, LLC.Principal Securities, Inc.06-19-2018
Gabe A. RohwedderSecurian Financial Services, Inc.Principal Securities, Inc.08-28-2012
Gerald Kent AskRaymond James Financial Services, Inc.Principal Securities, Inc.$15003-14-2011
Julia Claire McCormickLW Advisors, L.L.C.Principal Securities, Inc.04-16-2018
Laura Ann GilesFoster Group, Inc.Principal Securities, Inc.07-18-2016
Marty Lynn BurgusFBL Marketing Services, LLCPrincipal Securities, Inc.11-12-2012
Paul Jeffrey MillhollinCetera Advisor Networks LLCPrincipal Securities, Inc.03-31-2010
Peter William BrockBrokers International Financial Services, LLC.Principal Securities, Inc.04-20-2018
Ralph Edward MartinCambridge Investment Research, Inc.Principal Securities, Inc.$2501-02-2015
Robert Michael ShawCambridge Investment Research, Inc.Principal Securities, Inc.11-17-2015
Sarah Lynn AnthoferGlobal Retirement Partners LLCPrincipal Securities, Inc.04-17-2018
Saurav Ryan BhattacharyyaCambridge Investment Research, Inc.Principal Securities, Inc.12-07-2018
Stephanie Layne SamimiBrokers International Financial Services, LLC.Principal Securities, Inc.01-02-2013
Steven James BernhardtAXA Advisors, LLCPrincipal Securities, Inc.05-14-2013

Showing 1 to 24 of 24 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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