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.

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Adviser(s) Firm joining Firm leaving AUM ($M) Date
Melissa D FarfanMerrill Lynch, Pierce, Fenner & Smith IncorporatedForesters Financial Services, Inc.08-13-2019
Steve H NguyenCommonwealth Financial NetworkCitizens Securities, Inc.$2508-12-2019
Brian Kang LeePruco Securities, LLC.Securian Financial Services, Inc.08-12-2019
Stephen Joseph PutorteMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley08-12-2019
Joel KaufmanFirst Republic Securities Company, LLCUBS Financial Services Inc.$10008-09-2019
John InserraFirst Republic Securities Company, LLCUBS Financial Services Inc.$25008-09-2019
Kieran John LynchFirst Republic Securities Company, LLCUBS Financial Services Inc.$2508-09-2019
Craig KaufmanFirst Republic Securities Company, LLCUBS Financial Services Inc.$10008-09-2019
Brian Patrick HeathGarden State Securities, Inc.Maxim Group LLC08-09-2019
Jason Thomas MellorSecurian Financial Services, Inc.MML Investors Services, LLC$1008-09-2019
Tammy Annette LabancaJ.P. Morgan Securities LLCNorthwestern Mutual Investment Services, LLC08-07-2019
Jamie PhillipsFidelity Brokerage Services LLCMorgan Stanley08-07-2019
Rick Lawrence ScheelerPrivate Advisor Group, LLCNorthwestern Mutual Investment Services, LLC08-07-2019
Joshua Melon HarrisWells Fargo Clearing Services, LLCKey Investment Services LLC08-07-2019
David J. NovakPNC InvestmentsMerrill Lynch, Pierce, Fenner & Smith Incorporated08-05-2019
Arjay Sy IgnacioPruco Securities, LLC.Securian Financial Services, Inc.$5008-05-2019
Louis Arnold La Medica Jr.Pruco Securities, LLC.Nationwide Securities, LLC08-02-2019
Fortunato Silvestro PuleoWorld Equity Group, Inc.Taylor Capital Management Inc.08-01-2019
Michael Thomas SanzoneUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated08-01-2019
Dawn Inez CastroStifel, Nicolaus & Company, IncorporatedRBC Capital Markets, LLC07-30-2019
Gaetano Anthony SaccoFountainhead Capital Management, LLCMML Investors Services, LLC07-30-2019
Matthew R. MillahnMerrill Lynch, Pierce, Fenner & Smith IncorporatedWells Fargo Clearing Services, LLC07-30-2019
Scott David FergangStifel, Nicolaus & Company, IncorporatedRBC Capital Markets, LLC07-29-2019
Walter Clement RichardsonMorgan StanleyVanderbilt Securities, LLC07-29-2019
Robert Scott PowellJ.P. Morgan Securities LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated07-26-2019
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Showing 451 to 475 of 7,474 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 InvestmentNews.com and can not be resold, republished, redistributed, sublicensed, or copied for any other use without the permission of InvestmentNews LLC.