Advisers on the Move TEST

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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Latest moves

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Adviser(s) Firm joining Firm leaving AUM ($M) Date
Cleo KontoulasMerrill Lynch, Pierce, Fenner & Smith IncorporatedNorthwestern Mutual Investment Services, LLC02-21-2020
William Brandon JamesLPL Financial LLCNorthwestern Mutual Investment Services, LLC01-23-2020
Keith Emory MaysNYLIFE Securities LLCNorthwestern Mutual Investment Services, LLC10-16-2019
Katie E. McmillanVALIC Financial Advisors, Inc.Northwestern Mutual Investment Services, LLC10-16-2019
Joshua Dale FrancisNYLIFE Securities LLCNorthwestern Mutual Investment Services, LLC07-26-2019
James Richard HillPrincipal Securities, Inc.Northwestern Mutual Investment Services, LLC06-13-2019
Edwin Bruton Peacock IIIValMark Securities, Inc.Northwestern Mutual Investment Services, LLC04-12-2019
Charles BassingRoyal Alliance Associates, Inc.Northwestern Mutual Investment Services, LLC02-21-2019
Matthew Alan StrattonRaymond James & Associates, Inc.Northwestern Mutual Investment Services, LLC09-24-2018
Madeline Elena McGinnNorthwestern Mutual Investment Services, LLCNorthwestern Mutual Investment Services, LLC08-24-2018
Wayne Turner HouseWilbanks, Smith & Thomas Asset Management, LLCNorthwestern Mutual Investment Services, LLC04-04-2018
Anthony SicariWells Fargo Clearing Services, LLCNorthwestern Mutual Investment Services, LLC01-25-2018
Keith CrosbyWells Fargo Clearing Services, LLCNorthwestern Mutual Investment Services, LLC01-22-2018
Benjamin Douglas HadleyAXA Advisors, LLCNorthwestern Mutual Investment Services, LLC11-15-2017
Sarah Garvey SeatonPark Avenue Securities LLCNorthwestern Mutual Investment Services, LLC10-24-2017
Clayton Russell KochMorgan StanleyNorthwestern Mutual Investment Services, LLC10-18-2017
David Edwin WhitakerNorthwestern Mutual Investment Services, LLCNorthwestern Mutual Investment Services, LLC09-22-2017
Timothy Tyler HowardWells Fargo Clearing Services, LLCNorthwestern Mutual Investment Services, LLC07-26-2017
Anna Leigh HensonNorthwestern Mutual Investment Services, LLCNorthwestern Mutual Investment Services, LLC06-01-2017
Tracy Lynn DixonFidelity Brokerage Services LLCNorthwestern Mutual Investment Services, LLC05-31-2017
Erica Lea BatyProEquities, Inc.Northwestern Mutual Investment Services, LLC05-23-2017
Bryan Charles PollockLincoln Financial Securities CorporationNorthwestern Mutual Investment Services, LLC03-24-2017
Andrew Kreston RoseSignator Investors, Inc.Northwestern Mutual Investment Services, LLC03-02-2017
William Delon DowdyProvision Wealth Management, IncNorthwestern Mutual Investment Services, LLC03-02-2017
Jared Ryan BrogdenProvision Wealth Management, IncNorthwestern Mutual Investment Services, LLC03-02-2017
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Showing 1 to 25 of 75 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.