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
Stephen HumphreyLincoln InvestmentPruco Securities, LLC.01-09-2019
Patricia Ann JansenLincoln InvestmentLegend Equities Corporation01-03-2017
Brian Edward BiehlLincoln InvestmentQuestar Capital Corporation08-01-2016
Rudi Orlando BuetterichLincoln InvestmentNext Financial Group, Inc.04-04-2013
James Joseph SimoneLincoln InvestmentCincinnati Analysts, Inc.06-01-2012
Richard Gerard LewisLincoln InvestmentCincinnati Analysts, Inc.06-01-2012
Neil Edward ShafferLincoln InvestmentCincinnati Analysts, Inc.06-01-2012
Robert Scott WandsLincoln InvestmentAXA Advisors, LLC05-11-2010
Diane Helen HartzLincoln InvestmentLegend Equities Corporation$1001-03-2017
Alan Patrick Curley Jr.Lincoln InvestmentLegend Equities Corporation$1001-03-2017
Michael Anthony MaffeiLincoln InvestmentMetLife Securities Inc.$1009-01-2009
Frank ViolanteLincoln InvestmentWells Fargo Clearing Services, LLC$5001-12-2018
Myra Leslie RosenblattLincoln InvestmentLegend Equities Corporation$5001-03-2017

Showing 1 to 13 of 13 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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