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
Brandon Michael FordMutual of America Securities LLCNYLIFE Securities LLC05-12-2016
Shirl Johnson DarceVoya Financial Advisors, Inc.NYLIFE Securities LLC04-26-2016
Don Gene Banks Jr.Merrill Lynch, Pierce, Fenner & Smith IncorporatedNYLIFE Securities LLC03-23-2016
Maxwell Marc ZwainMorgan StanleyNYLIFE Securities LLC12-21-2015
Harold August Michael Dede IIIAXA Advisors, LLCNYLIFE Securities LLC08-18-2015
Bethany Allison ElliottMetLife Securities Inc.NYLIFE Securities LLC06-22-2015
Sean Kenneth PetersonMML Investors Services, LLCNYLIFE Securities LLC04-20-2015
James Patrick AbadieJ.P. Morgan Securities LLCNYLIFE Securities LLC03-27-2015
Michael Francis OconnorThrivent Investment Management Inc.NYLIFE Securities LLC12-18-2014
Ken Paul Christian IIIW&S Brokerage Services, Inc.NYLIFE Securities LLC09-16-2014
Jason S LaneauxPruco Securities, LLC.NYLIFE Securities LLC07-17-2014
Mark Anthony AvantAvant Capital, LLCNYLIFE Securities LLC01-17-2014
Walker Frank FulcoLPL Financial LLCNYLIFE Securities LLC10-01-2013
Stephen Michael RosierePruco Securities, LLC.NYLIFE Securities LLC03-20-2013
Georgianna Michelle GrimmPark Avenue Securities LLCNYLIFE Securities LLC09-07-2012
Jason DenaisState Farm VP Management Corp.NYLIFE Securities LLC07-27-2012
Jody Paul McdonaldPruco Securities, LLC.NYLIFE Securities LLC05-21-2012
Rebecca Luckey MartinPruco Securities, LLC.NYLIFE Securities LLC05-07-2012
Bernard Myrlen Baudin Jr.Pruco Securities, LLC.NYLIFE Securities LLC09-29-2011
Jerold Marc MatherneRaymond James Financial Services, Inc.NYLIFE Securities LLC01-24-2011
Felix Anthony HesserLPL Financial LLCNYLIFE Securities LLC$2502-05-2010

Showing 1 to 21 of 21 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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