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.

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Adviser(s) Firm joining Firm leaving AUM ($M) Date
Lesley Paul HarleauxCetera Advisors LLCOneAmerica Securities, Inc.08-21-2018
Jimmy Ray ScruggsBenjamin F. Edwards & Company, Inc.Wells Fargo Clearing Services, LLC$15008-17-2018
William Shane SumlinBenjamin F. Edwards & Company, Inc.Wells Fargo Clearing Services, LLC$15008-17-2018
Karen D Lemmons-SilvaPinnacle Asset Management Group, Inc.SagePoint Financial, Inc.08-14-2018
David Barkley SmithFSC Securities CorporationAmeriprise Financial Services, Inc.$5008-10-2018
Byron Leonel ReyesProspera Financial Services, Inc.UBS Financial Services Inc.$1,00008-06-2018
Carolyn French, Byron ReyesProspera Financial ServicesUBS Financial Services$15008-02-2018
Carolyn Oliver FrenchProspera Financial Services, Inc.UBS Financial Services Inc.$10008-02-2018
Paige Leigh St Martin360 Wealth Management, LLCLevel Four Advisory Services08-02-2018
Anson Garrett CottleMomentum Wealth ManagementCambridge Investment Research, Inc.07-31-2018
Leo Jerome KernLPL Financial LLCCambridge Investment Research, Inc.07-30-2018
Thomas BellStifel Nicolaus & Co.UBS Financial Services$6907-19-2018
John Jude ScallanSecurities America, Inc.MML Investors Services, LLC07-18-2018
Melissa Ann DerouenJ.P. Morgan Securities LLCRaymond James Financial Services, Inc.$15007-18-2018
Andrew L DuckworthJ.P. Morgan Securities LLCEdward Jones07-16-2018
Shawn SabelhausProspera Financial ServicesEdward Jones$14007-11-2018
Seth Bernard RichardsonCetera Advisors LLCOneAmerica Securities, Inc.07-05-2018
Matthew David HightowerMomentum Wealth ManagementCambridge Investment Research, Inc.07-03-2018
William Taylor King Jr.Securities America, Inc.Questar Capital Corporation06-29-2018
Daniel Mark ToupsHancock Whitney Investment Services Inc.LPL Financial LLC06-26-2018
Alan Scott MooreRaymond James & Associates, Inc.Wells Fargo Clearing Services, LLC$6806-15-2018
Forrest Stephen DuncanRaymond James & Associates, Inc.Wells Fargo Clearing Services, LLC$1,00006-15-2018
Frederick Stephen DuncanRaymond James & Associates, Inc.Wells Fargo Clearing Services, LLC$10006-15-2018
Preston Joseph PerezRaymond James & Associates, Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$106-04-2018
Stephen J GreenRaymond James & Associates, Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated06-04-2018
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Showing 51 to 75 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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