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
Eric Alan NeubeckerWells Fargo Clearing Services, LLC (Formerly Wells Fargo Advisors, LLC)Ameriprise Financial Services, Inc.$50008-19-2019
Eric Alan NeubeckerWells Fargo Clearing Services, LLC (Formerly Wells Fargo Advisors, LLC)Ameriprise Financial Services, Inc.$50008-19-2019
Eric Alan NeubeckerWells Fargo Clearing Services, LLC (Formerly Wells Fargo Advisors, LLC)Ameriprise Financial Services, Inc.$50008-19-2019
Clarence Leo SmithCalton & Associates, Inc.Securities America, Inc.08-16-2019
Clarence Leo SmithCalton & Associates, Inc.Securities America, Inc.08-16-2019
Clarence Leo SmithCalton & Associates, Inc.Securities America, Inc.$108-16-2019
Mark Lawrence SmithCambridge Investment Research, Inc.Securities America, Inc.$5008-15-2019
Jason Thomas ArbetterCambridge Investment Research, Inc.Securities America, Inc.08-15-2019
Mark Lawrence SmithCambridge Investment Research, Inc.Securities America, Inc.$5008-15-2019
Jason Thomas ArbetterCambridge Investment Research, Inc.Securities America, Inc.08-15-2019
Mark Lawrence SmithCambridge Investment Research, Inc.Securities America, Inc.$5008-15-2019
Jason Thomas ArbetterCambridge Investment Research, Inc.Securities America, Inc.08-15-2019
Cheri Anne YoungPurshe Kaplan Sterling InvestmentsWoodbury Financial Services, Inc.08-13-2019
Edward Walterhouse, Ryan FarisAmeriprise Financial Services, Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$17508-09-2019
Wayne W FilizettiVoya Financial Advisors, Inc.Forest Securities, Inc.08-05-2019
Michael Peter SchlegelCambridge Investment Research Advisors, Inc.Waddell & Reed08-02-2019
Sherrie Ingham, William Turner, Matthew Flynn, Branimir Milosevic, Thomas Seidl, Richard BoschertAmeriprise Financial Services, Inc.Concorde Investment Services$12207-26-2019
David F. Tiesma Jr.Fifth Third Securities, Inc.J.P. Morgan Securities LLC07-25-2019
Tom BrehmStifel, Nicolaus & Company, IncorporatedAmeriprise Financial Services, Inc. Services, Inc.$12707-22-2019
Adam W. FliehmanRegulus Advisors, LLCCetera Advisors LLC07-19-2019
Mark Robert VandenbrandenCambridge Investment Research, Inc.Innovation Partners LLC07-18-2019
Mark Robert VandenbrandenCambridge Investment Research, Inc.Innovation Partners LLC07-18-2019
Mark Robert VandenbrandenCambridge Investment Research, Inc.Innovation Partners LLC07-18-2019
Richard Norman Spears Jr.The Huntington Investment CompanyFinancial Engines Advisors L.L.C.07-16-2019
Kevin Michael BarryKB Wealth Management, LLCOppenheimer & Co. Inc.07-12-2019
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Showing 1 to 25 of 391 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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