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
Mitchell Roy GriepRaymond James Financial Services, Inc.Level Four Advisory Services$2508-30-2018
Johanna Marie MarkgrafRaymond James Financial Services, Inc.LPL Financial LLC$103-15-2018
Jon Jerome DouvierRaymond James Financial Services, Inc.Northwestern Mutual Investment Services, LLC12-11-2017
John Michael ComerRaymond James Financial Services, Inc.Waddell & Reed08-17-2017
Ryan Randy SerreynRaymond James Financial Services, Inc.Ameriprise Financial Services, Inc.$1006-30-2017
Dustin Soukkay KeomysyRaymond James Financial Services, Inc.Prosperwell Financial$2504-28-2017
Justin Joseph GandrudRaymond James Financial Services, Inc.LPL Financial LLC04-28-2017
Nicole Noel MiddendorfRaymond James Financial Services, Inc.Prosperwell Financial$5004-28-2017
Timothy David AscheRaymond James Financial Services, Inc.Securities America, Inc.04-11-2017
Benjamin Robert BjorkRaymond James Financial Services, Inc.Putnam Retail Management Limited Partnership04-03-2017
Matthew P. AskRaymond James Financial Services, Inc.Edward Jones06-15-2016
Craig Edward PoppRaymond James Financial Services, Inc.RBC Capital Markets, LLC01-13-2016
Adolfo Gaspar SotomayorRaymond James Financial Services, Inc.Scottrade, Inc.12-04-2015
Gerry Troy BollingerRaymond James Financial Services, Inc.Wells Fargo Clearing Services, LLC09-01-2015
Darlene Rae DorrRaymond James Financial Services, Inc.Fintegra, LLC07-29-2015
Nathaniel Scott LarsonRaymond James Financial Services, Inc.Edward Jones$107-28-2015
Ryan Edward WelleRaymond James Financial Services, Inc.Fintegra, LLC07-13-2015
Christine Deanne PetersonRaymond James Financial Services, Inc.U.S. Bancorp Investments, Inc.06-02-2015
Tamara Lee PfefferRaymond James Financial Services, Inc.LPL Financial LLC04-17-2015
Edee Renee FrenchRaymond James Financial Services, Inc.LPL Financial LLC01-26-2015
James Paul MarquardtRaymond James Financial Services, Inc.LPL Financial LLC$5001-26-2015
Timothy Gerald ErnsteRaymond James Financial Services, Inc.LPL Financial LLC01-26-2015
Patrick Carl GherityRaymond James Financial Services, Inc.CUNA Brokerage Services, Inc.11-04-2014
Peggy Lynn JergensonRaymond James Financial Services, Inc.LPL Financial LLC09-29-2014
Tanya Lynn NicholsRaymond James Financial Services, Inc.Wells Fargo Clearing Services, LLC$8709-19-2014
Next Page »

Showing 1 to 25 of 86 entries

Page 1 | 2 | 3 | 4

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.


Hi! Glad you're here and we hope you like all the great work we do here at InvestmentNews. But what we do is expensive and is funded in part by our sponsors. So won't you show our sponsors a little love by whitelisting It'll help us continue to serve you.

Yes, show me how to whitelist

Ad blocker detected. Please whitelist us or give premium a try.