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
Joseph Patrick RoopDempsey Lord Smith, LLCKalos Capital, Inc.07-22-2019
Stephen Douglas NortonDempsey Lord Smith, LLCKalos Capital, Inc.07-22-2019
Shaun F. MoynihanDempsey Lord Smith, LLCKalos Capital, Inc.07-22-2019
Joshua P HodgeFifth Third Securities, Inc.Charles Schwab & Co., Inc.07-18-2019
Timothy James WrightInfinex Investments, Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated07-17-2019
Franklin J. MataPrincipal Securities, Inc.Fidelity Brokerage Services LLC07-16-2019
Brandon J. JohnsonFirst Citizens Investor Services, Inc.Wells Fargo Clearing Services, LLC07-15-2019
Timothy Paul PortelanceRaymond James Financial Services, Inc.Edward Jones07-12-2019
William Paul SchwarzkopfPrincipal Securities, Inc.Transamerica Financial Advisors, Inc$1907-11-2019
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
Thomas Grey KennedyCapFinancial Securities, LLC.Cornerstone Capital Advisors$1,00007-03-2019
Jerry Robert CrouseAllstate Financial Services, LLCPruco Securities, LLC.07-03-2019
Sheryl Lee AustinDMJ Wealth Advisors, LLCProEquities, Inc.06-28-2019
Jeffery W. HwangDMJ Wealth Advisors, LLCProEquities, Inc.06-28-2019
Alan Judson Carpenter Jr.Allstate Financial Services, LLCLPL Financial LLC$15006-27-2019

Showing 1 to 17 of 17 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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