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
Kathleen Sue DennisVALIC Financial Advisors, Inc.Investment Planners, Inc.10-22-2018
John Phillip MorganVALIC Financial Advisors, Inc.Cambridge Investment Research, Inc.09-04-2015
Evan FedermanVALIC Financial Advisors, Inc.Edward Jones11-11-2014
Gary Dale JonesVALIC Financial Advisors, Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated10-28-2014
Catherine Lynne HarstickVALIC Financial Advisors, Inc.TIAA-CREF Individual & Institutional Services, LLC09-24-2014
Lori Lea JohnsonVALIC Financial Advisors, Inc.Lincoln Financial Advisors Corporation01-03-2014
David William DykstraVALIC Financial Advisors, Inc.Investment Centers of America, Inc.09-04-2013
Matthew Allen TicknorVALIC Financial Advisors, Inc.Thrivent Investment Management Inc.01-29-2013
Corey Randall BierlVALIC Financial Advisors, Inc.Horace Mann Investors, Inc.05-21-2012
William Gordon ClairVALIC Financial Advisors, Inc.Park Avenue Securities LLC02-02-2012
Kelly Stiefel AriasVALIC Financial Advisors, Inc.Principal Securities, Inc.07-14-2011
Daniel Alexander AllenVALIC Financial Advisors, Inc.Principal Securities, Inc.08-03-2010
David Ray LaroqueVALIC Financial Advisors, Inc.U.S. Bancorp Investments, Inc.06-07-2010
Janice Patrice HeinzVALIC Financial Advisors, Inc.Waddell & Reed01-21-2010
Jason Brett ColeVALIC Financial Advisors, Inc.FAS Corp.$10003-09-2012

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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