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
Marc Anthony ShepherdPrincipal Securities, Inc.MML Investors Services, LLC06-03-2019
Sean H. DematteoPrincipal Securities, Inc.MML Investors Services, LLC06-03-2019
William Scott StandenPrincipal Securities, Inc.MML Investors Services, LLC$102-14-2019
Jeffrey Paul ClarkePrincipal Securities, Inc.MML Investors Services, LLC$1010-16-2018
Kelly S ThornburgPrincipal Securities, Inc.Park Avenue Securities LLC$104-16-2018
Loida Gabriela DiazPrincipal Securities, Inc.Horace Mann Investors, Inc.03-01-2018
Jay Conan DougallPrincipal Securities, Inc.Waddell & Reed$2502-15-2018
Aaron Raymond SeymourPrincipal Securities, Inc.Edward Jones08-31-2017
Carl Brent AnthonyPrincipal Securities, Inc.AXA Advisors, LLC$106-16-2017
Christopher Edward AllredPrincipal Securities, Inc.Park Avenue Securities LLC$105-17-2017
Mark Angus JudsonPrincipal Securities, Inc.MML Investors Services, LLC09-20-2016
Kenneth Roger BollingerPrincipal Securities, Inc.Raymond James & Associates, Inc.08-10-2016
Nancy Rosser DawkinsPrincipal Securities, Inc.Money Concepts Capital Corp07-12-2016
Nancy OlsenPrincipal Securities, Inc.Nationwide Securities, LLC04-20-2016
Markus Terrail PlayerPrincipal Securities, Inc.NYLIFE Securities LLC04-18-2016
Justin Thomas BrittPrincipal Securities, Inc.MWA Financial Services Inc.02-05-2016
Thomas Allen DwightPrincipal Securities, Inc.Cambridge Investment Research, Inc.01-20-2016
Roy Houston JohnsonPrincipal Securities, Inc.AXA Advisors, LLC$109-17-2015
John Dewalden Eller IIIPrincipal Securities, Inc.NYLIFE Securities LLC07-10-2015
Jasper Newton Watson IIIPrincipal Securities, Inc.Waddell & Reed05-18-2015
Marc Eugene SavardPrincipal Securities, Inc.NYLIFE Securities LLC05-14-2015
Kristen E MitchellPrincipal Securities, Inc.W&S Brokerage Services, Inc.05-05-2015
Robert Franklin NorthrupPrincipal Securities, Inc.Thrivent Investment Management Inc.03-27-2015
Andreena Jo-Lynn MossPrincipal Securities, Inc.LPL Financial LLC11-24-2014
Mark T KobelinskiPrincipal Securities, Inc.NYLIFE Securities LLC10-20-2014
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Showing 1 to 25 of 50 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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