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
Christopher Michael ObrienCitizens Securities, Inc.NYLIFE Securities LLC05-08-2019
Derek Knight FairchildMML Investors Services, LLCNYLIFE Securities LLC04-03-2019
Marcell Sherman RobateauMerrill Lynch, Pierce, Fenner & Smith IncorporatedNYLIFE Securities LLC03-26-2018
Michael Robert DunnMerrill Lynch, Pierce, Fenner & Smith IncorporatedNYLIFE Securities LLC07-18-2017
Jeffrey Weston WheelerEdward JonesNYLIFE Securities LLC$5006-02-2017
David Mynatt RubinCitizens Securities, Inc.NYLIFE Securities LLC$2505-09-2017
Andrew Ian SmithCitizens Securities, Inc.NYLIFE Securities LLC08-30-2016
Cheryl Pamela BerthiaumePrincipal Securities, Inc.NYLIFE Securities LLC$5004-01-2016
Kevin Machado BettencourtSantander Securities LLCNYLIFE Securities LLC01-06-2016
Thomas M. MuradianCitizens Securities, Inc.NYLIFE Securities LLC01-05-2016
Salvatore Alfred Mondello Jr.Citizens Securities, Inc.NYLIFE Securities LLC12-15-2015
Timothy Todd EhlersHornor, Townsend & Kent, LLCNYLIFE Securities LLC09-11-2015
Crystal Marie KnowltonMorgan StanleyNYLIFE Securities LLC01-05-2015
Christopher Joseph WoodHornor, Townsend & Kent, LLCNYLIFE Securities LLC01-02-2015
Ronald Edward Groves Jr.Citizens Securities, Inc.NYLIFE Securities LLC10-31-2014
Sean Michael PettengillCambridge Investment Research, Inc.NYLIFE Securities LLC09-12-2014
Amber Jean CummingsCitizens Securities, Inc.NYLIFE Securities LLC05-08-2014
Christopher Paul CarelliPrivate Advisor Group, LLCNYLIFE Securities LLC12-16-2013
Nicholas GiallousisCitizens Securities, Inc.NYLIFE Securities LLC11-26-2013
Miles Stanton Rew PrescottWells Fargo Clearing Services, LLCNYLIFE Securities LLC07-19-2013
Mark David SolopertoLincoln InvestmentNYLIFE Securities LLC11-01-2012
Delcarme Francois-LeFortCitizens Securities, Inc.NYLIFE Securities LLC09-20-2012
David P. SantoroCommonwealth Financial NetworkNYLIFE Securities LLC07-30-2012
Peter W. St GeorgeLPL Financial LLCNYLIFE Securities LLC$1004-06-2011
Michelle Dh GriffinLPL Financial LLCNYLIFE Securities LLC$20002-25-2010
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Showing 1 to 25 of 26 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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