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 M Waite IIAmeriprise Financial Services, Inc. Services, Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$11906-18-2019
Waltraud GrandeSummit Brokerage Services, Inc.Wells Fargo Advisors Financial Network, LLC$10006-14-2019
John Scott GrandeSummit Brokerage Services, Inc.Wells Fargo Advisors Financial Network, LLC$10006-14-2019
David Ira YatesPruco Securities, LLC.NYLIFE Distributors LLC06-14-2019
Karen Sue FeolaSummit Brokerage Services, Inc.Wells Fargo Advisors Financial Network, LLC06-14-2019
George William McMullenMerrill Lynch, Pierce, Fenner & Smith IncorporatedWells Fargo Clearing Services, LLC06-14-2019
Christopher Roy GibardiCUNA Brokerage Services, Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated06-14-2019
Roy A. SchoenfeldLincoln Financial Advisors CorporationMerrill Lynch, Pierce, Fenner & Smith Incorporated$5006-13-2019
John Greer Jr.LPL Financial LLCNorthwestern Mutual Investment Services, LLC$10006-11-2019
Brian Joseph CorcoranRBC Capital Markets, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated06-11-2019
Robert Alan KochCadaret, Grant & Co., Inc.M&T Securities, Inc.06-10-2019
Michael G SteinickeWells Fargo Clearing Services, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated06-10-2019
Tibor Richard Dani Jr.Wealthness LLCAmeriprise Financial Services, Inc.06-07-2019
David Michael GottliebAPW Capital, Inc.Ameriprise Financial Services, Inc.06-07-2019
Robert James MasciaGreen Ridge Wealth Planning LLCLPL Financial LLC06-06-2019
William Edward DudesPleasantdale Wealth Management, LLCAmerican Portfolios Advisors, Inc06-05-2019
Henry Chin KimTD Ameritrade Investment Management, LLCFidelity Brokerage Services LLC06-05-2019
Kevin McLaughlinAmeriprise Financial Services, Inc.Oppenheimer & Co. Inc.06-05-2019
William Edward DudesPleasantdale Wealth Management, LLCAmerican Portfolios Financial Services, Inc.06-05-2019
Bryan James BaccaroAllstate Financial Services, LLCAXA Advisors, LLC06-03-2019
Perry M. SuttonCommonwealth Financial NetworkCitizens Securities, Inc.06-03-2019
Bradley John HargraveJ.P. Morgan Securities LLCPrudential Investment Management Services LLC06-03-2019
Richard Alan HagertyAmeriprise Financial Services, Inc.UBS Financial Services Inc.$10005-31-2019
Francis James DunnRaymond James Financial Services, Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$5005-31-2019
Eric Robert ListickLPL Financial LLCRaymond James Financial Services, Inc.$2505-31-2019
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Showing 51 to 75 of 77 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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