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.

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Adviser(s) Firm joining Firm leaving AUM ($M) Date
Amanda Lowe SchulzeVanguard Marketing CorporationNorthwestern Mutual Investment Services, LLC12-03-2015
Andrew Joseph O'Connell IIIWells Fargo Clearing Services, LLCNorthwestern Mutual Investment Services, LLC10-02-2015
Andrew Kreston RoseSignator Investors, Inc.Northwestern Mutual Investment Services, LLC03-02-2017
Anna Leigh HensonNorthwestern Mutual Investment Services, LLCNorthwestern Mutual Investment Services, LLC06-01-2017
Anthony SicariWells Fargo Clearing Services, LLCNorthwestern Mutual Investment Services, LLC01-25-2018
Benjamin Douglas HadleyAXA Advisors, LLCNorthwestern Mutual Investment Services, LLC11-15-2017
Benjamin Jacob UysmithAXA Advisors, LLCNorthwestern Mutual Investment Services, LLC04-21-2014
Brad UrbanLPL Financial LLCNorthwestern Mutual Investment Services, LLC07-31-2012
Bryan Charles PollockLincoln Financial Securities CorporationNorthwestern Mutual Investment Services, LLC03-24-2017
Charles BassingRoyal Alliance Associates, Inc.Northwestern Mutual Investment Services, LLC02-21-2019
Chelsea Nicole SmithMetLife Securities Inc.Northwestern Mutual Investment Services, LLC04-08-2015
Christina Elise AckerM Holdings Securities, Inc.Northwestern Mutual Investment Services, LLC03-16-2015
Christine R. BoylanPark Avenue Securities LLCNorthwestern Mutual Investment Services, LLC10-21-2014
Christopher Fraser IrvinM Holdings Securities, Inc.Northwestern Mutual Investment Services, LLC08-28-2015
Christopher Swift MunnellyOppenheimer & Co. Inc.Northwestern Mutual Investment Services, LLC01-24-2017
Clayton L. MatthewsCapFinancial Securities, LLC.Northwestern Mutual Investment Services, LLC09-30-2014
Clayton Russell KochMorgan StanleyNorthwestern Mutual Investment Services, LLC10-18-2017
Cleo KontoulasMerrill Lynch, Pierce, Fenner & Smith IncorporatedNorthwestern Mutual Investment Services, LLC02-21-2020
Colin Leander BranchPark Avenue Securities LLCNorthwestern Mutual Investment Services, LLC07-19-2013
Cory Lynne ShoemakerTIAA-CREF Individual & Institutional Services, LLCNorthwestern Mutual Investment Services, LLC$5009-02-2014
David Edwin WhitakerNorthwestern Mutual Investment Services, LLCNorthwestern Mutual Investment Services, LLC09-22-2017
David R. CrispinMML Investors Services, LLCNorthwestern Mutual Investment Services, LLC10-15-2015
Dennis Kevin KingsleyPark Avenue Securities LLCNorthwestern Mutual Investment Services, LLC11-11-2013
Edwin Bruton Peacock IIIValMark Securities, Inc.Northwestern Mutual Investment Services, LLC04-12-2019
Elizabeth M SeehrNorthwestern Mutual Investment Services, LLCNorthwestern Mutual Investment Services, LLC03-22-2016
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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.