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
Rakesh BhartiSigma Financial CorporationAmeriprise Financial Services, Inc.$2504-12-2019
Craig Thomas JohnsonSigma Financial CorporationRoyal Alliance Associates, Inc.01-25-2019
David Wells ChampeSigma Financial CorporationAmeriprise Financial Services, Inc.$15010-31-2018
Charles Wayne RandallSigma Financial CorporationBroker Dealer Financial Services Corp.10-12-2018
David Alan PaskievitchSigma Financial CorporationLPL Financial LLC$2510-10-2018
Cheryl Ann HarwellSigma Financial CorporationThe Huntington Investment Company08-30-2018
Michael Edward SullivanSigma Financial CorporationCetera Advisors LLC07-19-2018
Harvey Neil NuttallSigma Financial CorporationNYLIFE Securities LLC07-18-2018
Steven Edward DrahozalSigma Financial CorporationForesters Equity Services, Inc.06-07-2018
Daniel Jon FerwerdaSigma Financial CorporationSIGNATOR INVESTORS, INC.$2506-01-2018
Thomas Neil RauSigma Financial CorporationNYLIFE Securities LLC04-23-2018
Jack Edward BrownSigma Financial CorporationSII Investments, Inc.$5001-12-2018
Mark Alan HanlinSigma Financial CorporationINVEST Financial Corporation12-15-2017
Michael James DoranSigma Financial CorporationLPL Financial LLC12-06-2017
Christopher Saul Kelly Jr.Sigma Financial CorporationB. Riley Wealth Management$2509-05-2017
Daniel J StrongSigma Financial CorporationNorthwestern Mutual Investment Services, LLC06-19-2017
Patrick Shawn CrilleySigma Financial CorporationMorgan Stanley05-26-2017
Robert Howell Frank IIISigma Financial CorporationAmeriprise Financial Services, Inc.$5005-12-2017
Kevin Michael VolzSigma Financial CorporationAmerican Independent Securities Group, LLC02-15-2017
Melissa Elizabeth RubinghSigma Financial CorporationRaymond James Financial Services, Inc.01-31-2017
Mark Frank Pauwels Jr.Sigma Financial CorporationWaddell & Reed12-16-2016
Randall Alan Hoover Jr.Sigma Financial CorporationAXA Advisors, LLC12-09-2016
Kirk Anthony SempsrottSigma Financial CorporationPrincipal Securities, Inc.11-21-2016
Julio VozzaSigma Financial CorporationSA Stone Wealth Management Inc.09-28-2016
Andrew Lawrence MussenSigma Financial CorporationAmeriprise Financial Services, Inc.$2504-15-2016
Next Page »

Showing 1 to 25 of 115 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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