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

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Adviser(s) Firm joining Firm leaving AUM ($M) Date
David Allen PoulinRBC Capital Markets, LLCMorgan Stanley$15011-02-2017
Frank C A BottaJ.P. Morgan Securities LLCMorgan Stanley$1,00011-02-2017
Jay S. GordonAmeriprise Financial Services, Inc.Morgan Stanley$10011-02-2017
John Joseph VerrengiaLPL Financial LLCHeritage Wealth Management11-02-2017
Maryanne WaldmanRBC Capital Markets, LLCMorgan Stanley$10011-02-2017
Michael Anthony KaplanJ.P. Morgan Securities LLCMorgan Stanley$5011-02-2017
Thomas Francis Nee Jr.Independent Financial Group, LLCNational Planning Corporation$10011-02-2017
Chester Miller MccordSecurities America, Inc.National Planning Corporation11-01-2017
Christopher Dennis CaronSantander Securities LLCFlagship Harbor Advisors, LLC11-01-2017
Christopher Phong PhamMerrill Lynch, Pierce, Fenner & Smith IncorporatedFidelity Brokerage Services LLC11-01-2017
David Anderson KnechtleSecurities America, Inc.National Planning Corporation$111-01-2017
Lester John OpilaSecurities America, Inc.National Planning Corporation$1511-01-2017
Walter Paul Schwabe IIISecurities America, Inc.National Planning Corporation$5011-01-2017
Joshua Scott HymanSecurities America, Inc.National Planning Corporation$2510-31-2017
Kenneth O'ConnorCitizens Securities, Inc.Edward Jones10-31-2017
Kris Douglas CloydSecurities America, Inc.National Planning Corporation$15010-30-2017
Maria Louise FantoniCetera Advisor Networks LLCTwin Focus Capital Partners, LLC10-30-2017
Christopher Stephen JoyceMerrill Lynch, Pierce, Fenner & Smith IncorporatedFidelity Investments Institutional Services Company, Inc.10-27-2017
John Scott PimentalQuestar Capital CorporationSignator Investors, Inc.10-27-2017
Anthony Joseph DepintoPinnacle Private Wealth, LLCMML Investors Services, LLC10-26-2017
Nashan N VassallGoldson Financial LLCFlagship Harbor Advisors, LLC10-26-2017
Daniel Daniel LarsenRaymond James & Associates, Inc.Girard Partners Ltd.$110-25-2017
Eric John O'BrienMerrill Lynch, Pierce, Fenner & Smith IncorporatedCitizens Securities, Inc.10-25-2017
Tristan Thomas HendersonSantander Securities LLCFidelity Brokerage Services LLC10-25-2017
Paul Joseph HigginsHeritage Financial Services, LLCInvestacorp, Inc.10-24-2017
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Showing 326 to 350 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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