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
Dana Shawn VuteraCetera Advisors LLCQuestar Capital Corporation$5002-19-2019
Lesley Paul HarleauxCetera Advisors LLCOneAmerica Securities, Inc.08-21-2018
Seth Bernard RichardsonCetera Advisors LLCOneAmerica Securities, Inc.07-05-2018
Nicole Dias BarbourCetera Advisors LLCStratos Wealth Partners, Ltd04-24-2017
Richard David PeckCetera Advisors LLCCapital Guardian, LLC$25002-17-2015
Jason Dewande BellCetera Advisors LLCCapital Guardian, LLC02-13-2015
Reiko Y. PowderlyCetera Advisors LLCCapital Guardian, LLC$5002-13-2015
Jo Ellen KearnyCetera Advisors LLCProEquities, Inc.$1012-09-2013
Douglas Nash LindleyCetera Advisors LLCWoodbury Financial Services, Inc.03-27-2013
James Laverne Stone IIICetera Advisors LLCWoodbury Financial Services, Inc.05-02-2012
Brian Christopher SheelyCetera Advisors LLCCapital One Investment Services LLC01-18-2012
Cory Michael AllenCetera Advisors LLCThrivent Investment Management Inc.06-07-2010

Showing 1 to 12 of 12 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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