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.

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Adviser(s) Firm joining Firm leaving AUM ($M) Date
Gregg Bennett ShafterFirst Heartland Capital, Inc.Colorado Financial Service Corporation$1008-16-2019
Gregg Bennett ShafterFirst Heartland Capital, Inc.Colorado Financial Service Corporation$1008-16-2019
Kenneth Lee BrensdalB.B. Graham & Company, Inc.Capital Financial Services, Inc.07-15-2019
Stephen Andrew McMahonLPL Financial LLCMorgan Stanley07-11-2019
Michael HyerEdward JonesBankers Life Securities, Inc.06-14-2019
Mark Joseph DebourgFirst Financial Equity CorporationInvesco Distributors, Inc.06-03-2019
Jaime Sue ValentiniFirst Heartland Capital, Inc.Thrivent Investment Management Inc.05-01-2019
Mollyo NicholsonRaymond James Financial Services, Inc.Calton & Associates, Inc.$2503-15-2019
Gary A. EricksonWyndfall Financial IncHD Vest Investment Services03-11-2019
Paul Justin GiesMutual of Omaha Investor Services, Inc.Questar Capital Corporation03-04-2019
Jonathon S ButlerMML Investors Services, LLCNorthwestern Mutual Investment Services, LLC02-14-2019
Julie Kay SullivanRBC Capital Markets, LLCMorgan Stanley$1,00001-31-2019
David Anthony WeberRaymond James Financial Services, Inc.Wells Fargo Advisors Financial Network, LLC01-04-2019
Matthew Nicholas HudakCoCreate FinancialRegal Investment Advisors LLC01-02-2019
Michael Dean Schmidt Jr.Merrill Lynch, Pierce, Fenner & Smith IncorporatedWells Fargo Clearing Services, LLC11-16-2018
Ward Clinton WenholzSapphire Financial Strategies, L.L.C.First Advisors National, LLC11-05-2018
James Michael ReiterRoyal Alliance Associates, Inc.Signator Investors, Inc.$10011-02-2018
Kenneth James ShepherdRoyal Alliance Associates, Inc.Signator Investors, Inc.$2011-02-2018
Robin C. SwimleyRoyal Alliance Associates, Inc.Signator Investors, Inc.11-02-2018
Robert David BraunRoyal Alliance Associates, Inc.Signator Investors, Inc.11-02-2018
Daniel Mccaffery ReganRoyal Alliance Associates, Inc.Signator Investors, Inc.11-02-2018
Kevin John BatemanRoyal Alliance Associates, Inc.Signator Investors, Inc.11-02-2018
Dale S. BaldwinRoyal Alliance Associates, Inc.Signator Investors, Inc.11-02-2018
Christopher John CoghlanB.B. Graham & Company, Inc.RBC Capital Markets, LLC09-28-2018
Troy Allen BruceFirst Financial Equity CorporationLPL Financial LLC$1006-19-2018
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Showing 1 to 25 of 224 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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