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.

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Adviser(s) Firm joining Firm leaving AUM ($M) Date
Chintan Hariprakash ShuklaLPL Financial LLCRaymond James Financial Services, Inc.$106-06-2019
Michel PalacciBolton Global CapitalMorgan Stanley$12506-03-2019
Michael Philip CapolongoWorden Capital Management LLCLaidlaw & Company (Uk) Ltd.05-30-2019
Francis John Girard IIIRaymond James Financial Services, Inc.Ameriprise Financial Services, Inc.05-29-2019
James Lawrence McLoughlinRaymond James Financial Services, Inc.Ameriprise Financial Services, Inc.$5005-29-2019
Kevin Brian GirardRaymond James Financial Services, Inc.American Express Financial Advisors Inc.$2505-29-2019
Jeffrey Robert CanfieldCitigroup Global Markets Inc.Wells Fargo Clearing Services, LLC05-24-2019
Kristine Ann BuchbandFSC Securities CorporationMorgan Stanley$10005-24-2019
Anne Elaine Stedge-OutwaterCadaret, Grant & Co., Inc.Royal Alliance Associates, Inc.05-24-2019
David Vincent ReubenCadaret, Grant & Co., Inc.Royal Alliance Associates, Inc.$105-24-2019
Hovsep Ohannes DermenjianPurshe Kaplan Sterling InvestmentsVoya Financial Advisors, Inc.$5005-24-2019
Kevin Thomas CurryCadaret, Grant & Co., Inc.Royal Alliance Associates, Inc.05-24-2019
Lena E ShaboNYLIFE Securities LLCNYLIFE Distributors LLC05-23-2019
Brian Richard MohoricPurshe Kaplan Sterling InvestmentsAmeriprise Financial Services, Inc.05-23-2019
Sean Vaughn OwenPurshe Kaplan Sterling InvestmentsAmeriprise Financial Services, Inc.$1005-23-2019
Thomas Pieter Lansing Jr.Cetera Financial Specialists LLCEquity Services Inc.05-21-2019
Emilio Enrique Rivera Jr.MML Investors Services, LLCNYLIFE Securities LLC05-20-2019
Paul William DavisPrivate Client Services, LLCOppenheimer & Co. Inc.$15005-17-2019
Christopher P. DavisPrivate Client Services, LLCOppenheimer & Co. Inc.05-17-2019
Steven H. CliadakisPurshe Kaplan Sterling InvestmentsFIRST ALLIED ADVISORY SERVICES, INC.05-17-2019
Miste Lee CliadakisPurshe Kaplan Sterling InvestmentsFIRST ALLIED SECURITIES, INC.$5005-17-2019
Michael Nicholas BapisRockefeller Financial LLCAXIOM CAPITAL MANAGEMENT, INC.$15005-16-2019
Gregory Joseph KennedyLPL Financial LLCSummit Brokerage Services, Inc.$2505-16-2019
Rosemary Carolina AbreuCetera Investment Services LLCRoyal Alliance Associates, Inc.$5005-14-2019
Marc Alan JohnsonWells Fargo Advisors Financial Network, LLCWells Fargo Clearing Services, LLC$10005-13-2019
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Showing 1 to 25 of 12,386 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.

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