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.

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Adviser(s) Firm joining Firm leaving AUM ($M) Date
Susan Dorval DorseyCambridge Investment Research, Inc.Lincoln Financial Securities Corporation$2511-21-2017
Mary Eileen Rocha-NortonVoya Financial Advisors, Inc.LPL Financial LLC11-20-2017
Jay GordonAmeriprise FinancialMorgan Stanley Wealth Management$7311-20-2017
Kim David FrinkSecurities America, Inc.INVEST Financial Corporation$2511-17-2017
Ralph Eugene LucciSantander Securities LLCGWFS Equities, Inc.11-17-2017
William Andrew HoweSecurities America, Inc.INVEST Financial Corporation$111-17-2017
Annette SunSW Private Wealth, LLCLivingston & Haynes Investment Advisors, Inc.11-15-2017
Donald James BelisleSecurities America, Inc.National Planning Corporation$111-15-2017
John Richardson CockrellSantander Securities LLCCharles Schwab & Co., Inc.11-15-2017
Robert James McnamaraAllstate Financial Services, LLCMML Investors Services, LLC11-15-2017
James BoudreauxLPL FinancialMetLife Securities$6111-15-2017
Brian Joseph McgivernStonestreet Financial, Inc.Cambridge Investment Research, Inc.11-14-2017
Richard Alan DryerAdvisory Group Equity Services Ltd.Lincoln Financial Securities Corporation11-13-2017
Anthony Randall BartlettCambridge Investment Research, Inc.MML Investors Services, LLC$111-10-2017
Kelly Allen WoerdemanAmeriprise Financial Services, Inc.MML Investors Services, LLC$111-10-2017
Nicholas Allen Hudson CantrellFirst Allied Securities, Inc.CUSO Financial Services, L.P.11-09-2017
Okita SeviFirst Republic SecuritiesJPMorgan Chase & Co.$40011-03-2017
Arthur Nicholas KarabelasFirst Republic Securities Company, LLCJ.P. Morgan Securities LLC$15011-03-2017
Jeffrey Marc ShermanFirst Republic Securities Company, LLCJ.P. Morgan Securities LLC$15011-03-2017
Okita SeviFirst Republic Securities Company, LLCJ.P. Morgan Securities LLC11-03-2017
Frank Botta, Daniel McCarron, Mike CoyneJPMorgan Chase & Co.Morgan Stanley Wealth Management$1,10011-02-2017
Jeff Sherman, Arthur KarabelasFirst Republic SecuritiesJPMorgan Chase & Co.$40011-02-2017
L.O. Patrick Corbett, Robert F. Mason, Daniel WarrenJPMorgan Chase & Co.Morgan Stanley Wealth Management$1,20011-02-2017
Daniel Michael MccarronJ.P. Morgan Securities LLCMorgan Stanley$5011-02-2017
Daniel Redman WarrenJ.P. Morgan Securities LLCMorgan Stanley$5011-02-2017
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Showing 301 to 325 of 3,347 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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