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

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Adviser(s) Firm joining Firm leaving AUM ($M) Date
Marion John CharickiFifth Third Securities, Inc.Cetera Investment Services LLC06-03-2019
Daniel James SchreinerOppenheimer & Co. Inc.Ameriprise Financial Services, Inc.06-03-2019
Shahzad ShamsuddinFifth Third Securities, Inc.Cetera Investment Services LLC06-03-2019
Patricia Mary LorisLPL Financial LLCSecurities America, Inc.$5005-31-2019
B. Thomas CalfeeMorgan StanleyMerrill Lynch, Pierce, Fenner & Smith Incorporated05-31-2019
James Michael DavidsLPL Financial LLCSecurities America, Inc.05-31-2019
Elias SanchezMerrill Lynch, Pierce, Fenner & Smith IncorporatedDavid A. Noyes & Company05-31-2019
Andrew Douglass CarmanLPL Financial LLCSecurities America, Inc.05-31-2019
Steven D StrohCountry Capital Management CompanyCommerce Brokerage Services, Inc.05-30-2019
Emily Ann GuglielmoWilliam BlairFidelity Brokerage Services LLC05-30-2019
Frederick Paul PetersLaSalle St. Securities, LLCThe O.N. Equity Sales Company05-29-2019
Jeffery Scott KoskinenJ.W. Cole Financial, Inc.WBI Investments, Inc.05-29-2019
Lori Jane GalbraithFifth Third Securities, Inc.LPL Financial LLC05-29-2019
Sabrina Jay MasonPruco Securities, LLC.Allstate Financial Services, LLC$10005-28-2019
Kenneth Norman YoungLPL Financial LLCIndependent Financial Partners$2505-28-2019
Robert Frank BatyAmeritas Investment Corp.NYLIFE Securities LLC05-28-2019
Lance Christopher ProvoPNC InvestmentsTIAA-CREF Individual & Institutional Services, LLC$1405-21-2019
Mccabe Culley StrothmannJ.W. Cole Financial, Inc.LPL Financial LLC05-21-2019
Jonathan Samuel KrugerSentinus-Halo Securities, LLCProEquities, Inc.05-20-2019
Miguel Antonio JimenezJ.P. Morgan Securities LLCTIAA-CREF Individual & Institutional Services, LLC05-20-2019
Jared Michael CanterburyMerrill Lynch, Pierce, Fenner & Smith IncorporatedEdward Jones$2505-17-2019
Peter Anthony FineWells Fargo Clearing Services, LLCAmeriprise Financial Services, Inc.05-17-2019
Thomas Joseph BiberMerrill Lynch, Pierce, Fenner & Smith IncorporatedMidwestern Securities Trading Company, LLC05-17-2019
Terrence Earl SimpsonNorthwestern Mutual Investment Services, LLCJ.P. Morgan Securities LLC05-15-2019
David Matthew ThompsonThompson Capital Management, LLCKAIZEN ADVISORY, LLC05-14-2019
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Showing 51 to 75 of 87 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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