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
Michael Joseph WadeLPL Financial LLC1st Global Capital Corp.01-07-2019
Joseph ReedLPL Financial LLC1st Global Capital Corp.$10001-03-2019
James J CaristiaLPL Financial LLC1st Global Capital Corp.01-03-2019
David HendersonLPL Financial LLC1st Global Capital Corp.01-03-2019
Michael StieglitzLPL Financial LLC1st Global Capital Corp.$10001-02-2019
Natacha Tania SmithLPL Financial LLC1st Global Capital Corp.$25001-02-2019
Meryl Linda FuteyHeadquarters Advisory Group, LLC1st Global Capital Corp.04-25-2017
Bruce Stanley HesseLPL Financial LLC1st Global Capital Corp.$48010-05-2016
Frank PawlowskiHunter Financial Services, Inc.1st Global Capital Corp.01-17-2014
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.$10001-31-2012
Harold John Sargent Jr.Power Wealth Management LLC1st Global Capital Corp.12-01-2009
Christopher Schoefield CarlinFCG Advisors, LLC1st Worldwide Financial Partners, LLC$50010-27-2010
Randolph Aaron ReinwasserSolitude Canyon Investment Advisors, LLC401K FINANCIAL ADVISOR, LLC01-01-2010
Michael Gerard PentoPento Portfolio Strategies, LLCA.G.P / Alliance Global Partners11-04-2011
Robert Allen SacharoffAmeriprise Financial Services, Inc.Abramenko & Company, Inc.$10002-15-2013
Timothy Allen ThelenAeon Capital IncAccelerated Capital Group01-06-2018
Adam Jay SellensAeon Capital IncAccelerated Capital Group12-21-2017
Christopher John BowmanAeon Capital IncAccelerated Capital Group12-20-2017
Frank B JaffePurshe Kaplan Sterling InvestmentsAccess Wealth$25005-27-2015
Jamal Lodewyk MahmoodPurshe Kaplan Sterling InvestmentsAccess Wealth$25005-27-2015
Baris AlkocNational Securities CorporationAdirondack Trading Group LLC05-13-2016
Gregory GonzalezSecurities America, Inc.Adirondack Trading Group LLC12-15-2015
Robert A. Setzer Jr.Merrill Lynch, Pierce, Fenner & Smith IncorporatedADP Broker-Dealer, Inc.09-27-2017
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Showing 1 to 25 of 7,079 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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