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
Lopez Duane DavisCUSO Financial Services, L.P.CUNA Brokerage Services, Inc.$5007-10-2019
Kevin Lee CookCUSO Financial Services, L.P.CUNA Brokerage Services, Inc.07-10-2019
David L. SpencerCUSO Financial Services, L.P.CUNA Brokerage Services, Inc.07-10-2019
Mark Thomas WaltonCUSO Financial Services, L.P.MML Investors Services, LLC$5007-24-2018
Russell Wayne JohnsonCUSO Financial Services, L.P.Pruco Securities, LLC.04-21-2017
Gregory Wayne BassCUSO Financial Services, L.P.SunTrust Investment Services, Inc.$10003-23-2017
Dianna S. HoffmanCUSO Financial Services, L.P.Wells Fargo Clearing Services, LLC03-03-2017
Catherine Ann BryantCUSO Financial Services, L.P.PNC Investments09-07-2016
Michael WestbrookCUSO Financial Services, L.P.Raymond James Financial Services, Inc.$1003-28-2016
Donna Andrea PantonCUSO Financial Services, L.P.Key Investment Services LLC03-07-2016
Ewelina Anna CaplapCUSO Financial Services, L.P.Northwestern Mutual Investment Services, LLC09-14-2015
Margaret Now MotsingerCUSO Financial Services, L.P.Raymond James Financial Services, Inc.04-14-2014
Daniel Patrick BernabeCUSO Financial Services, L.P.Wells Fargo Clearing Services, LLC04-21-2011
Caroline Helen GeorgiadisCUSO Financial Services, L.P.Raymond James Financial Services, Inc.01-15-2009

Showing 1 to 14 of 14 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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