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.

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Latest moves


Adviser(s) Firm joining Firm leaving AUM ($M) Date
Nathan A PeralesMML Investors Services, LLCNYLIFE Securities LLC07-29-2020
James Randall MartinusCommonwealth Financial NetworkNYLIFE Securities LLC07-24-2020
David Rohdin PeerboomCommonwealth Financial NetworkNYLIFE Securities LLC07-24-2020
Matthew Scott BenanderMML Investors Services, LLCNYLIFE Securities LLC06-03-2020
Thomas Allen GrifforeCitizens Securities, Inc.NYLIFE Securities LLC10-15-2019
Richard Allan Olsen IIMorgan StanleyNYLIFE Securities LLC08-22-2019
Justin Tyler MeyerFinancial Strategies Group, IncNYLIFE Securities LLC07-31-2019
Mark Ellis CarterFinancial Strategies Group, IncNYLIFE Securities LLC03-05-2019
Andrew John-Garrett MitchellAction Point Financial Planning, LLCNYLIFE Securities LLC01-23-2019
Charles James PassLPL Financial LLCNYLIFE Securities LLC07-23-2018
Harvey Neil NuttallSigma Financial CorporationNYLIFE Securities LLC07-18-2018
Thomas Edward PattonSigma Financial CorporationNYLIFE Securities LLC07-18-2018
Chad Russell AllemonThe Huntington Investment CompanyNYLIFE Securities LLC06-11-2018
Thomas Neil RauSigma Financial CorporationNYLIFE Securities LLC04-23-2018
Gongju BaekMML Investors Services, LLCNYLIFE Securities LLC03-20-2018
Richard A RosenthalSecurities Management & Research, Inc.NYLIFE Securities LLC03-15-2018
Brian Christopher ConnollyJ.P. Morgan Securities LLCNYLIFE Securities LLC10-24-2017
Ronald Stephen Thompson IIFinancial Strategies Group, IncNYLIFE Securities LLC10-21-2017
Kyle Robert CooperFinancial Strategies Group, IncNYLIFE Securities LLC09-07-2017
Brian Paul SpitzleyCambridge Investment Research, Inc.NYLIFE Securities LLC$1309-01-2017
Ronald S Thompson SrFinancial Strategies Group, IncNYLIFE Securities LLC08-01-2017
Brandon Ellis CarterFinancial Strategies Group, IncNYLIFE Securities LLC08-01-2017
John Louis DalyLPL Financial LLCNYLIFE Securities LLC02-10-2017
Drew Michael ShapiroMML Investors Services, LLCNYLIFE Securities LLC02-12-2016
Matthew D AddyMML Investors Services, LLCNYLIFE Securities LLC09-11-2013
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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 and can not be resold, republished, redistributed, sublicensed, or copied for any other use without the permission of InvestmentNews LLC.