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
Kenneth Andrew SmithPurshe Kaplan Sterling InvestmentsCommonwealth Financial Network11-13-2017
Elaine RoeckleinPurshe Kaplan Sterling InvestmentsResearch Financial Strategies08-01-2012
Valerie L. AlexanderPurshe Kaplan Sterling InvestmentsLPL Financial LLC08-01-2012
Thomas Clark ClearyPurshe Kaplan Sterling InvestmentsRBC Capital Markets, LLC$10010-11-2019
Satish Bhaskar SurvanshiPurshe Kaplan Sterling InvestmentsCIC Wealth, LLC$10011-13-2017
James Darby SimmonsPurshe Kaplan Sterling InvestmentsMorgan Stanley$10004-01-2011
Frank Chris Cappadora Jr.Purshe Kaplan Sterling InvestmentsCommonwealth Financial Network$16611-13-2017
William James Weglein Jr.Purshe Kaplan Sterling InvestmentsSecurities America, Inc.$25002-27-2017
David Barry SteinPurshe Kaplan Sterling InvestmentsStratos Wealth Partners, Ltd$25008-24-2012
Robert David KantorPurshe Kaplan Sterling InvestmentsLPL Financial LLC$26610-03-2016
Peter Stuart WyroughPurshe Kaplan Sterling InvestmentsPurshe Kaplan Sterling Investments$50009-07-2012
John Russell Taylor Jr.Purshe Kaplan Sterling InvestmentsFSC Securities Corporation$50005-18-2012

Showing 1 to 12 of 12 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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