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
David Barkley SmithFSC Securities CorporationAmeriprise Financial Services, Inc.$5008-10-2018
Kevin Robert ConleyCambridge Investment Research, Inc.Ameriprise Financial Services, Inc.$1001-03-2017
Jeremy Daniel CantuRaymond James & Associates, Inc.Ameriprise Financial Services, Inc.$112-06-2016
Alden Gerard HagardornLevel Four Advisory ServicesAmeriprise Financial Services, Inc.11-15-2016
James Howard Ponder Jr.Infinex Investments, Inc.Ameriprise Financial Services, Inc.$110-03-2016
Don Henry Raymond Jr.J.P. Morgan Securities LLCAmeriprise Financial Services, Inc.06-06-2016
Nicholas Joseph La Mothe Sr.J.P. Morgan Securities LLCAmeriprise Financial Services, Inc.03-09-2016
Mark Allan BannickWells Fargo Clearing Services, LLCAmeriprise Financial Services, Inc.10-01-2015
Beau Allen WilliamsINVEST Financial CorporationAmeriprise Financial Services, Inc.09-23-2015
Paige Leigh St MartinRaymond James Financial Services, Inc.Ameriprise Financial Services, Inc.06-05-2014
Charles VailMerrill Lynch, Pierce, Fenner & Smith IncorporatedAmeriprise Financial Services, Inc.04-23-2014
Robert Michael AlvarezLPL Financial LLCAmeriprise Financial Services, Inc.04-12-2013
Christina Gradney JohnsonRaymond James Financial Services, Inc.Ameriprise Financial Services, Inc.01-02-2013
Anastasia Lynette StanleyRaymond James Financial Services, Inc.Ameriprise Financial Services, Inc.02-15-2011
Michael Anthony BonfantiLPL Financial LLCAmeriprise Financial Services, Inc.10-08-2009
Jeffrey Daniel MearesLPL Financial LLCAmeriprise Financial Services, Inc.$8607-31-2009
Michael George BreardLPL Financial LLCAmeriprise Financial Services, Inc.$9807-31-2009
Walter Raymond Hays Jr.LPL Financial LLCAmeriprise Financial Services, Inc.$9807-31-2009
Kamran MahmoodChase Investment Services Corp.Ameriprise Financial Services, Inc.04-20-2009

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.


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