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
Shawn Michael AganLPL Financial LLCGunnAllen Financial, Inc02-25-2009
Lee J LeonardLPL Financial LLCMorgan Stanley11-13-2009
Mark Donald McCombsLPL Financial LLCCetera Advisor Networks LLC12-18-2009
William Scott OverlandLPL Financial LLCRaymond James Financial Services, Inc.$5006-07-2010
Jeff D. NewburnLPL Financial LLCSecurian Financial Services, Inc.09-30-2010
Sean Patrick Thomas TobinLPL Financial LLCEdward Jones12-17-2010
Christopher Alan UglumLPL Financial LLCDeWaay Financial Network, LLC$5008-11-2011
John Benjamin NelsonLPL Financial LLCDeWaay Financial Network, LLC08-11-2011
Brian Edward TiesLPL Financial LLCPrudential Investment Management Services LLC11-28-2011
Allan Keith WalzLPL Financial LLCU.S. Bancorp Investments, Inc.$2502-06-2012
Melissa Ann DardenLPL Financial LLCNational Planning Corporation$5007-31-2012
Ross James BarbattiLPL Financial LLCNational Planning Corporation07-31-2012
Advantage Financial GroupLPL Financial LLCNational Planning$2,00008-02-2012
Caleb Wellington PearsonLPL Financial LLCPrincipal Securities, Inc.08-31-2012
Dirk Matthew DixonLPL Financial LLCAmeritas Investment Corp.09-04-2012
Brett Stone UnderbergLPL Financial LLCWells Fargo Clearing Services, LLC12-17-2012
Gregory Stone BendingerLPL Financial LLCNorthwestern Mutual Investment Services, LLC$10007-12-2013
Joseph Rocco CampanelliLPL Financial LLCMML Investors Services, LLC07-22-2013
David R. AndrewLPL Financial LLCMML Investors Services, LLC09-20-2013
Jonathan Chapman PearsonLPL Financial LLCSecurian Financial Services, Inc.09-30-2013
VisionPoint Advisory GroupLPL Financial LLCSecurian Financial Services$1,00010-01-2013
James Marshall MarsLPL Financial LLCSecurian Financial Services, Inc.10-01-2013
Jimmy Edward WaggonerLPL Financial LLCSecurian Financial Services, Inc.10-01-2013
Tim J. RhoadesLPL Financial LLCMorgan Stanley12-16-2013
Byron C. WilliamsonLPL Financial LLCMorgan Stanley12-16-2013
Next Page »

Showing 1 to 25 of 88 entries

Page 1 | 2 | 3 | 4

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.


Hi! Glad you're here and we hope you like all the great work we do here at InvestmentNews. But what we do is expensive and is funded in part by our sponsors. So won't you show our sponsors a little love by whitelisting It'll help us continue to serve you.

Yes, show me how to whitelist

Ad blocker detected. Please whitelist us or give premium a try.