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
Adam Scott AriosaLPL Financial LLCNorthwestern Mutual Investment Services, LLC$1,00008-19-2011
Barclay Spencer BrightStifel, Nicolaus & Company, IncorporatedNorthwestern Mutual Investment Services, LLC05-14-2009
Benjamin Samuel OffitKestra Investment Services, LLCNorthwestern Mutual Investment Services, LLC$103-02-2016
Brodie Garrett LeapPark Avenue Securities LLCNorthwestern Mutual Investment Services, LLC02-23-2015
Christopher James KnorrMML Investors Services, LLCNorthwestern Mutual Investment Services, LLC01-28-2015
Colin M Robertson IIIMML Investors Services, LLCNorthwestern Mutual Investment Services, LLC02-23-2015
Constance Rae StevensonLincoln Financial Advisors CorporationNorthwestern Mutual Investment Services, LLC12-02-2013
Diane Tylene Jones RichardsMerrill Lynch, Pierce, Fenner & Smith IncorporatedNorthwestern Mutual Investment Services, LLC12-20-2016
Douglas D. StockmanPark Avenue Securities LLCNorthwestern Mutual Investment Services, LLC$102-06-2015
Eric Jay JorgensenMainStreet Financial Planning, Inc.Northwestern Mutual Investment Services, LLC03-02-2016
Frederick Nelson CassillyCassilly FinancialNorthwestern Mutual Investment Services, LLC03-19-2019
Heath Justin HarrisMerrill Lynch, Pierce, Fenner & Smith IncorporatedNorthwestern Mutual Investment Services, LLC03-31-2011
James Christopher McnealeyRaymond James Financial Services, Inc.Northwestern Mutual Investment Services, LLC08-25-2014
Jason M SlotkinMerrill Lynch, Pierce, Fenner & Smith IncorporatedNorthwestern Mutual Investment Services, LLC$109-27-2013
Jessie James AustinMerrill Lynch, Pierce, Fenner & Smith IncorporatedNorthwestern Mutual Investment Services, LLC08-05-2015
John David SullivanVSR Financial Services, Inc.Northwestern Mutual Investment Services, LLC03-01-2011
John Joseph HorriganLPL Financial LLCNorthwestern Mutual Investment Services, LLC$2501-11-2019
Kenneth M. PumphreyLPL Financial LLCNorthwestern Mutual Investment Services, LLC01-11-2019
Matthew Davis HashimotoPNC InvestmentsNorthwestern Mutual Investment Services, LLC11-30-2012
Peter R ParisMerrill Lynch, Pierce, Fenner & Smith IncorporatedNorthwestern Mutual Investment Services, LLC04-29-2013
Ravenna D DodsNYLIFE Securities LLCNorthwestern Mutual Investment Services, LLC07-21-2015
Reed Anthony SalonyLincoln Financial Advisors CorporationNorthwestern Mutual Investment Services, LLC10-15-2015
Robert Ryan BakerWaddell & ReedNorthwestern Mutual Investment Services, LLC11-22-2010
Stephen Michael WengryniukPNC InvestmentsNorthwestern Mutual Investment Services, LLC05-19-2014
Tommy Burrell DavisNavy Federal Brokerage Services, LLCNorthwestern Mutual Investment Services, LLC12-11-2017
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Showing 1 to 25 of 27 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 InvestmentNews.com and can not be resold, republished, redistributed, sublicensed, or copied for any other use without the permission of InvestmentNews LLC.

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