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
Carl B. AnthonyPrincipal Securities, Inc.AXA Advisors, LLC06-16-2017
Charles Alan CrewsPrincipal Securities, Inc.Ameriprise Financial Services, Inc.$2507-02-2014
Charles David Roberts Jr.Principal Securities, Inc.Woodbury Financial Services, Inc.$5001-25-2012
Christopher Edward AllredPrincipal Securities, Inc.Park Avenue Securities LLC05-17-2017
David Earl RatcliffePrincipal Securities, Inc.UBS Financial Services Inc.05-27-2009
Franklin J. MataPrincipal Securities, Inc.Fidelity Brokerage Services LLC07-16-2019
Grady N SmithPrincipal Securities, Inc.Hornor, Townsend & Kent, LLC02-14-2019
James Richard HillPrincipal Securities, Inc.Northwestern Mutual Investment Services, LLC06-13-2019
Jay C DougallPrincipal Securities, Inc.Waddell & Reed$2502-15-2018
Jeffrey Paul ClarkePrincipal Securities, Inc.MML Investors Services, LLC$1010-16-2018
John Newton Holding IIIPrincipal Securities, Inc.Hornor, Townsend & Kent, LLC03-25-2014
Justin Thomas BrittPrincipal Securities, Inc.MWA Financial Services Inc.02-05-2016
Kelly S. ThornburgPrincipal Securities, Inc.Park Avenue Securities LLC04-16-2018
Kerolous N. BotrosPrincipal Securities, Inc.CapFinancial Securities, LLC.11-14-2011
Marc Anthony ShepherdPrincipal Securities, Inc.MML Investors Services, LLC06-03-2019
Markus Terrail PlayerPrincipal Securities, Inc.NYLIFE Securities LLC04-18-2016
Michael C PalczukPrincipal Securities, Inc.New England Securities$1006-19-2014
Randy M. SeePrincipal Securities, Inc.State Farm VP Management Corp.09-22-2009
Rick Arthur JacksonPrincipal Securities, Inc.Ameriprise Financial Services, Inc.$1006-18-2014
Roy Houston JohnsonPrincipal Securities, Inc.AXA Advisors, LLC09-17-2015
Sean H. DematteoPrincipal Securities, Inc.MML Investors Services, LLC06-03-2019
Walter Robert Ferguson Jr.Principal Securities, Inc.MWA Financial Services Inc.04-12-2019
William Paul SchwarzkopfPrincipal Securities, Inc.Transamerica Financial Advisors, Inc$1907-11-2019
William Scott StandenPrincipal Securities, Inc.MML Investors Services, LLC02-14-2019

Showing 1 to 24 of 24 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 and can not be resold, republished, redistributed, sublicensed, or copied for any other use without the permission of InvestmentNews LLC.


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