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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Adviser(s) Firm joining Firm leaving AUM ($M) Date
Sandra Rose SchlaeferCambridge Investment Research, Inc.NYLIFE Securities LLC02-17-2009
John Edward HanceCambridge Investment Research, Inc.The Capital Advisory Group Advisory Services, LLC$25006-19-2009
James Laurance GruningCambridge Investment Research, Inc.Investors Capital Corp.$50001-04-2010
Susan Marta StilesCambridge Investment Research, Inc.Commonwealth Financial Network$50003-01-2010
Curtis Wayne SwensonCambridge Investment Research, Inc.Cetera Advisor Networks LLC$10006-01-2010
Alexander Morris KronickCambridge Investment Research, Inc.Cetera Advisor Networks LLC$10006-01-2010
Gregory Jerald MortensonCambridge Investment Research, Inc.Cetera Advisor Networks LLC$25006-01-2010
Scott Michael SiverhusCambridge Investment Research, Inc.Cetera Advisor Networks LLC$50006-01-2010
Michael Nathan LauerCambridge Investment Research, Inc.CapitalQuest Securities, Inc.08-13-2010
Joseph Michael MillerCambridge Investment Research, Inc.Voya Financial Advisors, Inc.$10011-29-2010
Thomas Lyle TollefsonCambridge Investment Research, Inc.AXA Advisors, LLC$48004-01-2011
Pasquale Weaver FrattaloneCambridge Investment Research, Inc.Woodbury Financial Services, Inc.$10007-18-2011
Richard Mark CochraneCambridge Investment Research, Inc.Workman Securities Corporation$10009-20-2011
Paul Daniel WoolfreyCambridge Investment Research, Inc.Parkland Securities, LLC$25011-28-2011
John Leonard NelsonCambridge Investment Research, Inc.Principal Securities, Inc.01-03-2012
Travis James StoryCambridge Investment Research, Inc.Allied Beacon Partners, Inc.01-03-2012
James Francis SchmitzCambridge Investment Research, Inc.Voya Financial Advisors, Inc.$15006-11-2012
Sandra Lee FlomCambridge Investment Research, Inc.Voya Financial Advisors, Inc.07-27-2012
Michael Joseph RyanCambridge Investment Research, Inc.Wells Fargo Advisors Financial Network, LLC$10008-16-2012
Thad Anthony JohnsonCambridge Investment Research, Inc.Woodbury Financial Services, Inc.10-01-2012
David John HerbeckCambridge Investment Research, Inc.Avantax Investment Services, Inc.$50010-05-2012
Patrice Marie MacgibbonCambridge Investment Research, Inc.Charles Schwab & Co., Inc.$25011-02-2012
Norberto Carlos MoranCambridge Investment Research, Inc.Thrivent Investment Management Inc.$10005-31-2013
Eric Edward WegnerCambridge Investment Research, Inc.Capstone Advisory Group LLC$50007-02-2013
Mark Wendell VandeneindeCambridge Investment Research, Inc.1st Global Capital Corp.$25007-29-2013
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Showing 1 to 25 of 83 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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