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
Kristin M NickersonMerrill Lynch, Pierce, Fenner & Smith IncorporatedCitizens Securities, Inc.07-10-2014
Jonathan Evan CaplanNorthwestern Mutual Investment Services, LLCCitizens Securities, Inc.09-08-2014
Frank Anthony OftringSantander Securities LLCCitizens Securities, Inc.09-12-2014
Joseph Michael Phillips Sr.Santander Securities LLCCitizens Securities, Inc.$50012-09-2014
Elizabeth Ann PerrySantander Securities LLCCitizens Securities, Inc.12-10-2014
Chad Ian ColpittsFortune Financial Services, Inc.Citizens Securities, Inc.$50003-11-2015
John Francis MazzoneSantander Securities LLCCitizens Securities, Inc.04-10-2015
Annette Marie CrowleyU.S. Wealth ManagementCitizens Securities, Inc.04-14-2015
Joseph Mark BrudermanMerrill Lynch, Pierce, Fenner & Smith IncorporatedCitizens Securities, Inc.05-04-2015
Todd Christopher BeatiAmeriprise Financial Services, Inc.Citizens Securities, Inc.06-10-2015
Brian Robert GaumontSantander Securities LLCCitizens Securities, Inc.07-22-2015
Randy Edward BallSantander Securities LLCCitizens Securities, Inc.$25009-30-2015
Edward William QuirkLPL Financial LLCCitizens Securities, Inc.10-15-2015
Johan Manuel PereiraSantander Securities LLCCitizens Securities, Inc.10-20-2015
Douglas Lim ChinSantander Securities LLCCitizens Securities, Inc.$50011-03-2015
Michael Paul KirwanCUSO Financial Services, L.P.Citizens Securities, Inc.01-11-2016
Joseph R FerreiraLPL Financial LLCCitizens Securities, Inc.$10001-15-2016
Stephen M RoweFirst Republic Securities Company, LLCCitizens Securities, Inc.04-26-2016
Jonathan A AkeredoluSantander Securities LLCCitizens Securities, Inc.06-01-2016
Deborah Ann FarrellMerrill Lynch, Pierce, Fenner & Smith IncorporatedCitizens Securities, Inc.07-27-2016
Yogesh MalikInfinex Investments, Inc.Citizens Securities, Inc.10-11-2016
Martha RodriguezSantander Securities LLCCitizens Securities, Inc.10-19-2016
Robert CaputoPark Avenue Securities LLCCitizens Securities, Inc.11-30-2016
Alejandro Arturo SchubertSantander Securities LLCCitizens Securities, Inc.01-09-2017
Lloyd Ward JohnsonSantander Securities LLCCitizens Securities, Inc.01-26-2017
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Showing 26 to 50 of 99 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. All data and information is the property of InvestmentNews LLC and is protected by copyright and other intellectual property laws. All rights are reserved by InvestmentNews LLC. Data may only be viewed on and can not be resold, republished, redistributed, sublicensed, or copied for any other use without the permission of InvestmentNews LLC.


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