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

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Adviser(s) Firm joining Firm leaving AUM ($M) Date
Robert Allan Palma Jr.Regulus Advisors, LLCCapital Analysts06-06-2019
Anthony Steven ThorntonRegulus Advisors, LLCHilltop Securities Independent Network Inc.$103-12-2019
Phillip Wayne OlneyRegulus Advisors, LLCWoodbury Financial Services, Inc.03-07-2019
Retha Diane RishRegulus Advisors, LLCQuestar Capital Corporation02-12-2019
Matthew Paul CourRegulus Advisors, LLCSecurities America, Inc.12-04-2018
Eric Johannes PoosRegulus Advisors, LLCSecure Investment Management, LLC$2209-12-2018
James Patrick WhiteRegulus Advisors, LLCFifth Third Securities, Inc.$10009-07-2018
James Ronald PilatRegulus Advisors, LLCLPL Financial LLC08-10-2018
Alan Elmer TomanRegulus Advisors, LLCLincoln Financial Securities Corporation04-06-2018
David Dennis PetersRegulus Advisors, LLCArrow Investment Management, LLC04-03-2018
Louis Ralph PetrilloRegulus Advisors, LLCBoenning & Scattergood, Inc.01-11-2018
Robert Charles MulcahyRegulus Advisors, LLCWFG Investments, Inc.11-13-2017
Jean Jacques PierreRegulus Advisors, LLCPrincipal Securities, Inc.09-26-2017
Sidney Joseph Dufresne Jr.Regulus Advisors, LLCDorsey & Company, Inc.$2509-26-2017
Dewell Roger ClayRegulus Advisors, LLCPackerland Brokerage Services, Inc.$2507-19-2017
Heriberto De De Leon Jr.Regulus Advisors, LLCForest Securities, Inc.06-26-2017
Owen Durbin SwartRegulus Advisors, LLCForest Securities, Inc.06-20-2017
Joshua Robert HoganRegulus Advisors, LLCBankers Life Securities, Inc.06-15-2017
Paula Jean ReynoldsRegulus Advisors, LLCQuestar Capital Corporation02-28-2017
Russell Alan SmithRegulus Advisors, LLCCetera Financial Specialists LLC$101-30-2017
Christopher Robert EmdeRegulus Advisors, LLCGregory J. Schwartz & Co., Inc.$10009-16-2016
Shannon Matthew DuggerRegulus Advisors, LLCWoodbury Financial Services, Inc.09-16-2016
John James Goulooze Jr.Regulus Advisors, LLCFifth Third Securities, Inc.08-03-2016
Kyle Joseph WatkinsRegulus Advisors, LLCEdward Jones06-16-2016
Benjamin Carl TompkinsRegulus Advisors, LLCThrivent Investment Management Inc.04-19-2016
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Showing 1 to 25 of 54 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.

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