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

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Adviser(s) Firm joining Firm leaving AUM ($M) Date
Michael Ernest SpearsCommonwealth Financial NetworkAmeriprise Financial Services, Inc.$106-14-2019
Morris Trulock BellCapital Investment Group, Inc.Prospera Financial Services, Inc.$2506-14-2019
Bailey Bass BarteeWells Fargo Advisors Financial Network, LLCWells Fargo Clearing Services, LLC$1,00006-07-2019
William Francis Gold Jr.Raymond James Financial Services, Inc.UBS Financial Services Inc.$5006-06-2019
Staci Rene LingenfelterWells Fargo Advisors Financial Network, LLCWells Fargo Clearing Services, LLC06-04-2019
Marc Anthony ShepherdPrincipal Securities, Inc.MML Investors Services, LLC06-03-2019
Sean H. DematteoPrincipal Securities, Inc.MML Investors Services, LLC06-03-2019
Douglas J MarkenRaymond James & Associates, Inc.Morgan Stanley$5005-13-2019
Leonard Jerome BrooksCetera Financial Specialists LLCH.D. Vest Andvisory Service Inc$505-13-2019
Leonard Jerome BrooksCetera Financial Specialists LLCH.D. Vest Advisory Services, Inc$505-13-2019
Murray WelchPruco Securities, LLC.MWA Financial Services Inc.$105-06-2019
Shantal Lillian TolbertAllstate Financial Services, LLCTransamerica Financial Advisors, Inc05-01-2019
Charles Warren SmithFifth Third Securities, Inc.SunTrust Investment Services, Inc.04-01-2019
Philip Lawrence FriedJanney Montgomery Scott LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$15003-28-2019
Robert Glenn Russell IIILPL Financial LLCKestra Investment Services, LLC$5003-28-2019
Robert Vernon MouroJanney Montgomery Scott LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$5003-28-2019
Rea Samuel PtacinAllstate Financial Services, LLCPrincipal Securities, Inc.03-25-2019
Brent Marshall NaylorEdward JonesWells Fargo Clearing Services, LLC$2503-22-2019
Peter Mark DearcangelisBB&T Securities, LLCAmeriprise Financial Services, Inc.$1,00003-21-2019
Donnie Dixon StilesWells Fargo Clearing Services, LLCEdward Jones03-20-2019
Richard Allen YercheckCapital Investment Group, Inc.Prospera Financial Services, Inc.03-15-2019
David Fielding HavensStifel, Nicolaus & Company, IncorporatedJ.J.B. Hilliard, W.L. Lyons, LLC$5003-14-2019
Kevin Brian LyallStifel, Nicolaus & Company, IncorporatedJ.J.B. Hilliard, W.L. Lyons, LLC$5003-14-2019
Kurt EngelhardtWells Fargo Clearing Services, LLCTIAA-CREF Individual & Institutional Services, LLC03-14-2019
Alexander Jude SankowskiAXA Advisors, LLCTIAA-CREF Individual & Institutional Services, LLC03-13-2019
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Showing 1 to 25 of 186 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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