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
Kent Eugene AnthonyCambridge Investment Research, Inc.Principal Securities, Inc.01-02-2009
David W FreisnerFortune Financial Advisors, LLCPrincipal Securities, Inc.03-15-2012
Douglas Ross PeeteGlobal Retirement Partners LLCPrincipal Securities, Inc.11-07-2016
Patrick Winston LillisLPL Financial LLCPrincipal Securities, Inc.10-22-2019
Nikki Dee FinleyLPL Financial LLCPrincipal Securities, Inc.11-07-2016
Matthew MacielMaciel Wealth ManagementPrincipal Securities, Inc.12-03-2018
Kelly Stiefel AriasVALIC Financial Advisors, Inc.Principal Securities, Inc.07-14-2011
Daniel Alexander AllenVALIC Financial Advisors, Inc.Principal Securities, Inc.08-03-2010
Hal Kenneth BrettmannVoya Financial Advisors, Inc.Principal Securities, Inc.10-28-2016
Jeffrey Vernon RoweWaddell & ReedPrincipal Securities, Inc.09-05-2017
Tae Chung KimWoodbury Financial Services, Inc.Principal Securities, Inc.07-28-2017

Showing 1 to 11 of 11 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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