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

Results filtered by


Adviser(s) Firm joining Firm leaving AUM ($M) Date
Robert Bradford Oakes1st Global Capital Corp.HD Vest Investment Services10-18-2018
John Alvin Barrow1st Global Capital Corp.Blue Rock Wealth Management, LLC02-06-2018
Matthew Robert Schanz1st Global Capital Corp.The Strategic Financial Alliance, Inc.$25010-16-2017
Michael Joseph Larkin1st Global Capital Corp.RBC Capital Markets, LLC$108-11-2017
Katherine Carmichael Morosani1st Global Capital Corp.INVEST Financial Corporation12-02-2016
Alan Wesley Thompson1st Global Capital Corp.CSSC Brokerage Services, Inc.08-31-2016
Matthew David Hearn1st Global Capital Corp.Raymond James Financial Services Advisors, Inc02-01-2012
Carey Velmont Downing Jr.1st Global Capital Corp.HD Vest Investment Services$5010-06-2009
Gail Lowry ScurryA4 Wealth Advisors LLCPruco Securities, LLC.03-30-2016
Roger Wesley JohnsonACT AdvisorsLPL Financial LLC11-19-2014
Gregory William SchlaudeckerAdaptFirst Investments LLCIntercarolina Financial Services, Inc.03-15-2018
Charles Franklin Freeman Jr.AdaptFirst Investments LLCINTERCAROLINA FINANCIAL SERVICES, INC.08-15-2017
Victoria Lynn SawyerAdirondack Trading Group LLCLPL Financial LLC09-16-2014
Thomas Brett SawyerAdirondack Trading Group LLCLPL Financial LLC09-12-2014
Peter Matthew GalanoAdirondack Trading Group LLCLPL Financial LLC09-02-2014
Blake Lawrence ParoAdvisory Services NetworkRaymond James Financial Services, Inc.10-02-2017
Barbara Ann BellAdvisory Services NetworkHD Vest Investment Services06-04-2015
Jerry Wayne AlfordAlford Retirement Solutions LLCVerity Asset Management12-01-2014
Yancey Williams MackeyAllen, Mooney & Barnes Brokerage Services, LLCInvestment Professionals, Inc.11-03-2011
David Jerome MorganAllen, Mooney & Barnes Brokerage Services, LLCOppenheimer & Co. Inc.07-06-2009
Alan Judson Carpenter Jr.Allstate Financial Services, LLCLPL Financial LLC$15006-27-2019
Shantal Lillian TolbertAllstate Financial Services, LLCTransamerica Financial Advisors, Inc05-01-2019
Rea Samuel PtacinAllstate Financial Services, LLCPrincipal Securities, Inc.03-25-2019
Coleton Taylor BooneAllstate Financial Services, LLCUBS Financial Services Inc.03-06-2018
Richard Alan CarrollAllstate Financial Services, LLCMML Investors Services, LLC$111-20-2017
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Showing 1 to 25 of 4,057 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.


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