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
Robert Dean NelsonPurshe Kaplan Sterling InvestmentsAmeriprise Financial Services, Inc.10-01-2013
James Joel BeaulieuPurshe Kaplan Sterling InvestmentsLPL Financial LLC$2509-30-2013
Jeffrey Wayne YeaklePurshe Kaplan Sterling InvestmentsMcGlaughlin Yeakle, Inc.09-30-2013
Ronald Dwight AustinPurshe Kaplan Sterling InvestmentsCetera Investment Advisers LLC09-27-2013
Vaughn Raye SchillPurshe Kaplan Sterling InvestmentsVSR Financial Services, Inc.09-27-2013
Mitsuo Eli LockrowPurshe Kaplan Sterling InvestmentsUBS Financial Services Inc.09-20-2013
Robert B WadePurshe Kaplan Sterling InvestmentsMorgan Stanley09-20-2013
Tony SaemaiPurshe Kaplan Sterling InvestmentsMorgan Stanley09-13-2013
Hally Maria DunnPurshe Kaplan Sterling InvestmentsRoyal Alliance Associates, Inc.$5009-11-2013
Rita Diana BunchPurshe Kaplan Sterling InvestmentsRoyal Alliance Associates, Inc.$5009-11-2013
Paul William KinneyPurshe Kaplan Sterling InvestmentsUBS Financial Services Inc.$10009-04-2013
Donald Dwayne DuncanPurshe Kaplan Sterling InvestmentsMorgan Stanley$15008-30-2013
Jason DodzikPurshe Kaplan Sterling InvestmentsNext Financial Group, Inc.08-30-2013
Joanne Junko NishiyamaPurshe Kaplan Sterling InvestmentsUBS Financial Services Inc.$10008-30-2013
Andrew TangPurshe Kaplan Sterling InvestmentsNational Securities Corporation08-28-2013
William WolfPurshe Kaplan Sterling InvestmentsWells Fargo Clearing Services, LLC08-01-2013
Bryan Allen SarffPurshe Kaplan Sterling InvestmentsVoya Financial Advisors, Inc.07-16-2013
Ryan Winfield PinePurshe Kaplan Sterling InvestmentsMorgan Stanley$10006-27-2013
Ronald James Larson Jr.Purshe Kaplan Sterling InvestmentsLPL Financial LLC06-24-2013
Michael Joseph BeginPurshe Kaplan Sterling InvestmentsGrant Williams L.P.06-20-2013
Mark Joseph ReitzPurshe Kaplan Sterling Investments1st Global Capital Corp.06-18-2013
Robert David ZodaPurshe Kaplan Sterling InvestmentsHilltop Securities Independent Network Inc.$106-14-2013
Rick Frank LorencePurshe Kaplan Sterling InvestmentsInvestment Professionals, Inc.06-10-2013
Kenneth Steven StovallPurshe Kaplan Sterling InvestmentsMerrill Lynch, Pierce, Fenner & Smith Incorporated06-01-2013
David Joseph LambPurshe Kaplan Sterling InvestmentsJanney Montgomery Scott LLC$2505-31-2013
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Showing 251 to 275 of 336 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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