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
Neal Wallace Kaye Jr.Wells Fargo Advisors Financial Network, LLCUBS Financial Services Inc.$10010-12-2015
Damien Brian EastMML Investors Services, LLCNorthwestern Mutual Investment Services, LLC10-08-2015
KENNETH GUS VINESSummit Financial Wealth AdvisorsFPL ASSET MANAGEMENT, LLC10-05-2015
Nicholas Creed TrappeySummit Financial Wealth AdvisorsFPL Asset Management, LLC10-05-2015
Benjamin Joseph BordenHancock Whitney Investment Services Inc.Essex National Securities, LLC10-01-2015
Cody Louis DelcambreLPL Financial LLCEssex Securities LLC10-01-2015
Mark Allan BannickWells Fargo Clearing Services, LLCAmeriprise Financial Services, Inc.10-01-2015
Michael Phillip GurziSummit Brokerage Services, Inc.Royal Alliance Associates, Inc.$5009-30-2015
Jason Lee TiserRaymond James & Associates, Inc.J.P. Morgan Securities LLC$109-25-2015
Christopher S St GermainPurshe Kaplan Sterling InvestmentsLPL Financial LLC$4009-24-2015
Beau Allen WilliamsINVEST Financial CorporationAmeriprise Financial Services, Inc.09-23-2015
Joyce Marie BeardPurshe Kaplan Sterling InvestmentsMutual Securities, Inc.09-23-2015
Robert Daniel OcchiAllstate Financial Services, LLCState Farm VP Management Corp.09-18-2015
Clay Parker KearneyStratos Wealth Partners, LtdCapital One Investing, LLC09-15-2015
Nicole Dias BarbourJCN Financial & Tax Advisory Group, LLCAdvisory Services Network09-11-2015
Quan Tan HuynhAllstate Financial Services, LLCState Farm VP Management Corp.09-11-2015
Monika Roy CrossleyCambridge Investment Research, Inc.Park Avenue Securities LLC09-09-2015
Roy Golding Spinks Jr.LPL Financial LLCCapital One Investing, LLC09-08-2015
Clay Kearney, Roy SpinksLPL FinancialCapital One$43909-08-2015
Peter Michael SteffensRaymond James & Associates, Inc.J.P. Morgan Securities LLC$109-04-2015
Christopher Michael McconnellMML Investors Services, LLCNorthwestern Mutual Investment Services, LLC09-01-2015
John Thomas MontgomeryNida and Montgomery Wealth AdvisorsMorgan Stanley08-31-2015
Jonathan D NidaNida and Montgomery Wealth AdvisorsMerrill Lynch, Pierce, Fenner & Smith Incorporated08-31-2015
Kaitlyn Mcinnis CarlsonUBS Financial Services Inc.Putnam Retail Management Limited Partnership08-31-2015
Jonathan Schlackman, Alan Weintraub, Joshua ZamatWells Fargo AdvisorsMorgan Stanley Wealth Management$70008-26-2015
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Showing 351 to 375 of 1,131 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.


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