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

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Adviser(s) Firm joining Firm leaving AUM ($M) Date
Gregory Martin Trauth IIWells Fargo Clearing Services, LLCNorthwestern Mutual Investment Services, LLC03-30-2009
James Lawrence Todd Sr.MML Investors Services, LLCNorthwestern Mutual Investment Services, LLC04-02-2009
Ellen Rosaschi LinaresMML Investors Services, LLCNorthwestern Mutual Investment Services, LLC05-28-2009
Marion Terrell Foxworth Jr.ProEquities, Inc.Northwestern Mutual Investment Services, LLC$5005-14-2012
Jerod Daniel AllenWells Fargo Clearing Services, LLCNorthwestern Mutual Investment Services, LLC04-12-2013
Todd Matthew BaileyCambridge Investment Research, Inc.Northwestern Mutual Investment Services, LLC06-04-2013
Timothy Nelson HuntPark Avenue Securities LLCNorthwestern Mutual Investment Services, LLC12-03-2013
Benjamin Jacob UysmithAXA Advisors, LLCNorthwestern Mutual Investment Services, LLC04-21-2014
Jonathan Richard VaclavMML Investors Services, LLCNorthwestern Mutual Investment Services, LLC08-07-2015
Ewelina Anna CaplapCUSO Financial Services, L.P.Northwestern Mutual Investment Services, LLC09-14-2015
Andrew Joseph O'Connell IIIWells Fargo Clearing Services, LLCNorthwestern Mutual Investment Services, LLC10-02-2015
David R. CrispinMML Investors Services, LLCNorthwestern Mutual Investment Services, LLC10-15-2015
Michael Alan HargroveCapFinancial Securities, LLC.Northwestern Mutual Investment Services, LLC$15002-05-2016
Zachary H. HullLPL Financial LLCNorthwestern Mutual Investment Services, LLC02-08-2016
Viral Hasubhai ChokshiPark Avenue Securities LLCNorthwestern Mutual Investment Services, LLC05-18-2016
Robert Douglas CowanMML Investors Services, LLCNorthwestern Mutual Investment Services, LLC06-24-2016
Marian Brown DabbsPruco Securities, LLC.Northwestern Mutual Investment Services, LLC06-29-2016
Geoffrey G McLawhornMML Investors Services, LLCNorthwestern Mutual Investment Services, LLC10-13-2016
Christopher Swift MunnellyOppenheimer & Co. Inc.Northwestern Mutual Investment Services, LLC01-24-2017
William Delon DowdyProvision Wealth Management, IncNorthwestern Mutual Investment Services, LLC03-02-2017
Jared Ryan BrogdenProvision Wealth Management, IncNorthwestern Mutual Investment Services, LLC03-02-2017
Clayton Russell KochMorgan StanleyNorthwestern Mutual Investment Services, LLC10-18-2017
Anthony SicariWells Fargo Clearing Services, LLCNorthwestern Mutual Investment Services, LLC01-25-2018
Jacob HansellApollon Wealth Management, LLCNorthwestern Mutual Investment Services, LLC03-06-2018
Matthew Alan StrattonRaymond James & Associates, Inc.Northwestern Mutual Investment Services, LLC$2509-24-2018
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Showing 1 to 25 of 27 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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