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

Results filtered by


Adviser(s) Firm joining Firm leaving AUM ($M) Date
David HendersonLPL Financial LLC1st Global Capital Corp.01-03-2019
James J CaristiaLPL Financial LLC1st Global Capital Corp.01-03-2019
Joseph ReedLPL Financial LLC1st Global Capital Corp.$10001-03-2019
Michael StieglitzLPL Financial LLC1st Global Capital Corp.$1001-02-2019
Natacha Tania SmithLPL Financial LLC1st Global Capital Corp.$2501-02-2019
Bruce Stanley HesseLPL Financial LLC1st Global Capital Corp.10-05-2016
Charles George ByronStrategic Advisers LLC1st Global Capital Corp.05-05-2015
Melissa NorwickePrecision Financial Services1st Global Capital Corp.09-05-2013
Albert Edward TaylorM Holdings Securities, Inc.1st Global Capital Corp.07-09-2013
Melinda B GaertnerLPL Financial LLC1st Global Capital Corp.$1001-31-2012
Christopher Schoefield CarlinFCG Advisors, LLC1st Worldwide Financial Partners, LLC10-27-2010
Michael Gerard PentoPento Portfolio Strategies, LLCA.G.P. / Alliance Global Partners11-04-2011
Robert Allen SacharoffAmeriprise Financial Services, Inc.Abramenko & Company, Inc.02-15-2013
Timothy Allen ThelenAeon Capital IncAccelerated Capital Group01-06-2018
Robert A. Setzer Jr.Merrill Lynch, Pierce, Fenner & Smith IncorporatedADP Broker-Dealer, Inc.09-27-2017
Jonathan Owen KleintopMerrill Lynch, Pierce, Fenner & Smith IncorporatedADP Broker-Dealer, Inc.05-03-2010
Jack Capewell LindMorgan StanleyAdvanced Equities Services Corp.09-28-2011
Eric C HillMerrill Lynch, Pierce, Fenner & Smith IncorporatedAdvanced Equities, Inc.08-27-2012
Jeffrey Joseph PaladinoMerrill Lynch, Pierce, Fenner & Smith IncorporatedAdvisors Asset Management, Inc.11-04-2015
Alan Todd BrumTD Ameritrade Investment Management, LLCAdvisors Asset Management, Inc.07-15-2010
Dean Robert LouckaUBS Financial Services Inc.AE Wealth Management, LLC07-28-2017
Harlene Liss GantmanMorgan StanleyAegis Capital Corp.11-29-2018
Frank A BottiniPNC InvestmentsAegis Capital Corp.09-08-2017
Kedrick Peter SackeySeaCrest Wealth Management, LLCAegis Capital Corp.12-28-2015
Vladimir NagelNational Securities CorporationAegis Capital Corp.10-21-2015
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Showing 1 to 25 of 5,443 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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