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
Gregory Eugene LawsonLPL Financial LLCNational Planning Corporation11-29-2017
William Poe Jr.Securities America, Inc.National Planning Corporation10-23-2017
Donald Max BarronSecurities America, Inc.National Planning Corporation10-20-2017
Michael P. McCormickSecurities America, Inc.National Planning Corporation10-20-2017
Alicia Dawn RascheRoyal Alliance Associates, Inc.National Planning Corporation10-19-2017
Randy Joseph HerbertRoyal Alliance Associates, Inc.National Planning Corporation10-16-2017
Timothy P. SweeneyRoyal Alliance Associates, Inc.National Planning Corporation10-16-2017
Randall Kerry KistlerWoodbury Financial Services, Inc.National Planning Corporation11-03-2016
Dennis Rodney WoodSagePoint Financial, Inc.National Planning Corporation09-10-2015
John Andrew O'BrienThe Huntington Investment CompanyNational Planning Corporation05-20-2014
John Marshall CulpepperCFD Investments, Inc.National Planning Corporation05-19-2009
Kurt Richard SupeCFD Investments, Inc.National Planning Corporation05-19-2009
William Louis PfadtLPL Financial LLCNational Planning Corporation$1111-29-2017
Alan Carl BuckLPL Financial LLCNational Planning Corporation$2511-29-2017
Jacob Ryan RuxerSilver Oak Securities, IncorporatedNational Planning Corporation$2511-09-2017
Ronald Stephen RaderSecurities America, Inc.National Planning Corporation$2510-30-2017
Jay Barrett BarclaySecurities America, Inc.National Planning Corporation$2510-18-2017
Troy David StollWoodbury Financial Services, Inc.National Planning Corporation$4711-02-2017
Warren SteinbornSagePoint Financial, Inc.National Planning Corporation$5009-10-2015

Showing 1 to 19 of 19 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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