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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Latest moves


Adviser(s) Firm joining Firm leaving AUM ($M) Date
Laurence James SchnallCadaret, Grant & Co., Inc.Key Investment Services LLC$15011-22-2019
Ryan William YorkCadaret, Grant & Co., Inc.Pinnacle Investments, LLC10-15-2019
Alec WitkowskiCadaret, Grant & Co., Inc.Peak Brokerage Services, LLC08-23-2019
John Joseph PennaCadaret, Grant & Co., Inc.Blackridge Asset Management, LLC08-21-2019
John Joseph PennaCadaret, Grant & Co., Inc.Blackridge Asset Management, LLC08-21-2019
David Vincent ReubenCadaret, Grant & Co., Inc.Royal Alliance Associates, Inc.05-24-2019
Kevin Thomas CurryCadaret, Grant & Co., Inc.Royal Alliance Associates, Inc.05-24-2019
Anne Elaine Stedge-OutwaterCadaret, Grant & Co., Inc.Royal Alliance Associates, Inc.05-24-2019
Deron Bruce GlickertCadaret, Grant & Co., Inc.LPL Financial LLC05-08-2019
Gregg Scott LicksteinCadaret, Grant & Co., Inc.SagePoint Financial, Inc.01-09-2019
Michelle Denise WerthCadaret, Grant & Co., Inc.Putnam Retail Management Limited Partnership01-02-2019
Diana S ApostolovaCadaret, Grant & Co., Inc.AXA Advisors, LLC04-27-2018
Daniel Joseph AspenleiterCadaret, Grant & Co., Inc.LPL Financial LLC04-20-2018
Charles Joseph PolkaCadaret, Grant & Co., Inc.MML Investors Services, LLC01-31-2018
Steven Brian SmithCadaret, Grant & Co., Inc.Northeast Securities, Inc.01-16-2018
Scott Alan FergusonCadaret, Grant & Co., Inc.LPL Financial LLC$2501-02-2018
Cathy L. HysackCadaret, Grant & Co., Inc.M. Griffith Investment Services Inc.11-30-2017
James Gordon DursoCadaret, Grant & Co., Inc.INVEST Financial Corporation10-11-2017
Douglas Skilton PetersenCadaret, Grant & Co., Inc.GWN Securities Inc.$2509-01-2017
Dean George LeounisCadaret, Grant & Co., Inc.Advanced Group Financial Services, LLC$1008-09-2017
Milton Arthur HillCadaret, Grant & Co., Inc.Park Avenue Securities LLC07-17-2017
Kathleen Teresa KaffenbergerCadaret, Grant & Co., Inc.INVEST Financial Corporation$2506-05-2017
Jayette Marie SinclairCadaret, Grant & Co., Inc.Infinex Investments, Inc.04-03-2017
Laura A CooleyCadaret, Grant & Co., Inc.1st Global Capital Corp.03-23-2017
Roy Gerard CasperCadaret, Grant & Co., Inc.Principal Securities, Inc.01-03-2017
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Showing 1 to 25 of 83 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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