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
Patrick Barry FlintCapFinancial Securities, LLC.John Hancock Distributors LLC07-26-2017
David Bernard HaireCapFinancial Securities, LLC.Bohmer Kilcoyne Wealth Management, LLC$5001-30-2017
Joshua Scott HaireCapFinancial Securities, LLC.Bohmer Kilcoyne Wealth Management, LLC$5001-30-2017
Ryan William LeeCapFinancial Securities, LLC.TIAA-CREF Individual & Institutional Services, LLC09-21-2016
Brian Matthew PollardCapFinancial Securities, LLC.USAA Financial Advisors, Inc.$10009-13-2016
Joey A GoodspeedCapFinancial Securities, LLC.ADP Broker-Dealer, Inc.06-24-2016
William Tyler GuptonCapFinancial Securities, LLC.Goldman Sachs & Co.05-11-2016
Audrey Christine WheatCapFinancial Securities, LLC.T. Rowe Price Investment Services, Inc.02-10-2016
John Henry Sandmann IICapFinancial Securities, LLC.Edward Jones02-05-2016
Michael Alan HargroveCapFinancial Securities, LLC.Northwestern Mutual Investment Services, LLC$15002-05-2016
William F LyleCapFinancial Securities, LLC.Merrill Lynch, Pierce, Fenner & Smith Incorporated11-18-2015
William Noel ChitwoodCapFinancial Securities, LLC.Fidelity Brokerage Services LLC09-16-2015
Rick Frank LorenceCapFinancial Securities, LLC.Purshe Kaplan Sterling Investments08-07-2015
James David VankeCapFinancial Securities, LLC.Independent Financial Partners07-31-2015
Kevin Thomas FieldmanCapFinancial Securities, LLC.Transamerica Investors Securities Corporation$27307-28-2015
Jamie Erin ThomaswongCapFinancial Securities, LLC.LPL Financial LLC06-19-2015
Keaton Scott BrewerCapFinancial Securities, LLC.Brownstone Investment Group, LLC01-02-2015
Ernest Albert LiebreCapFinancial Securities, LLC.Cadaret, Grant & Co., Inc.08-12-2013
Joseph Allen DillonCapFinancial Securities, LLC.Principal Securities, Inc.03-08-2013
Jeffrey Michael ThompsonCapFinancial Securities, LLC.Wells Fargo Clearing Services, LLC10-07-2011
Daniel Anthony DisciulloCapFinancial Securities, LLC.Edward Jones09-12-2011
William Travis WhittenCapFinancial Securities, LLC.Securian Financial Services, Inc.07-05-2011
James Wood StrodelCapFinancial Securities, LLC.Nfp Advisor Services01-05-2011
Daniel Todd DigiacomoCapFinancial Securities, LLC.SagePoint Financial, Inc.$2506-01-2010
Charles Land Hite Jr.CapFinancial Securities, LLC.Wells Fargo Clearing Services, LLC10-22-2009
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Showing 1 to 25 of 30 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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