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
Matthew Donald ShannahanNations Financial Group, Inc.American Independent Securities Group, LLC08-16-2011
Joseph Constantine BernardiNations Financial Group, Inc.B. Riley Wealth Management$10007-01-2019
Robert Emmett Lee Jr.Nations Financial Group, Inc.B. Riley Wealth Management07-01-2019
Max Louis CondeNations Financial Group, Inc.Berthel, Fisher & Company Financial Services, Inc.$20008-13-2010
Van M Michael SchafferNations Financial Group, Inc.Berthel, Fisher & Company Financial Services, Inc.$5008-13-2010
Malcom OngNations Financial Group, Inc.Berthel, Fisher & Company Financial Services, Inc.08-13-2010
James Stephen GrossNations Financial Group, Inc.Broker Dealer Financial Services Corp.$5009-26-2018
John Douglas ClagettNations Financial Group, Inc.Cascade Financial Management, Inc.11-06-2009
Jon Kenneth WychNations Financial Group, Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated12-21-2012
Eric John PetersonNations Financial Group, Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$2501-10-2011
Rits Burleson GeogheganNations Financial Group, Inc.Stifel, Nicolaus & Company, Incorporated$1610-19-2018
Rochelle M. Henry ErnbergerNations Financial Group, Inc.U.S. Bancorp Investments, Inc.$5009-30-2011
Kyle David WinterNations Financial Group, Inc.Wintrust Investments LLC$3210-11-2016
Angela Renae MillerNations Financial Group, Inc.Wintrust Investments LLC10-11-2016
Ryan Richard RuffcornNations Financial Group, Inc.Wintrust Investments LLC10-11-2016

Showing 1 to 15 of 15 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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