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


Adviser(s) Firm joining Firm leaving AUM ($M) Date
Rea Samuel PtacinAllstate Financial Services, LLCPrincipal Securities, Inc.03-25-2019
Paul William StratosMML Investors Services, LLCPrincipal Securities, Inc.12-07-2018
Laura Lee OdeaLPL Financial LLCPrincipal Securities, Inc.07-26-2017
Willie Darnell EverettPruco Securities, LLC.Principal Securities, Inc.06-28-2017
Scott Joseph LordNiagara International Capital LimitedPrincipal Securities, Inc.05-10-2017
Kevin Anthony HarperFirst Citizens Investor Services, Inc.Principal Securities, Inc.03-03-2017
Bradford Lee JenkinsPark Avenue Securities LLCPrincipal Securities, Inc.02-24-2017
Wayne Wayne JohnsonPruco Securities, LLC.Principal Securities, Inc.02-13-2017
Mark Sean KellyCambridge Investment Research, Inc.Principal Securities, Inc.08-01-2016
Josiah WhittenMML Investors Services, LLCPrincipal Securities, Inc.07-27-2016
Christopher Ross MccainW&S Brokerage Services, Inc.Principal Securities, Inc.07-26-2016
Duane Scott PellmanIntercarolina Financial Services, Inc.Principal Securities, Inc.05-05-2016
John Dewalden Eller IIIAllstate Financial Services, LLCPrincipal Securities, Inc.05-04-2016
Nancy Jean WilliamsCambridge Investment Research, Inc.Principal Securities, Inc.03-08-2016
Brian Michael BaroneMetLife Securities Inc.Principal Securities, Inc.06-09-2015
Timothy Douglas HintonPNC InvestmentsPrincipal Securities, Inc.04-21-2015
Todd Everett TimmermanLPL Financial LLCPrincipal Securities, Inc.03-09-2015
Paul Andrew DowdAllstate Financial Services, LLCPrincipal Securities, Inc.$2512-08-2014
Brandon Ray ByerlyPruco Securities, LLC.Principal Securities, Inc.06-18-2014
Romie PatelPruco Securities, LLC.Principal Securities, Inc.06-17-2014
Carlos MorloteBB&T Investment Services, Inc.Principal Securities, Inc.01-13-2014
Robert Everett FerrisLPL Financial LLCPrincipal Securities, Inc.01-10-2014
Jeffery Dean PaddyfoteWells Fargo Clearing Services, LLCPrincipal Securities, Inc.12-16-2013
Lorna Doyle KaplanPruco Securities, LLC.Principal Securities, Inc.09-04-2013
Gregory Frank GianfortonePNC InvestmentsPrincipal Securities, Inc.06-20-2013
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Showing 1 to 25 of 32 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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