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

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Adviser(s) Firm joining Firm leaving AUM ($M) Date
Samantha A. SullivanPurshe Kaplan Sterling InvestmentsLas Olas Capital Advisors, LLC04-12-2017
James Orren SimsPurshe Kaplan Sterling InvestmentsRaymond James & Associates, Inc.$2504-05-2017
Xerxes Soli MullanPurshe Kaplan Sterling InvestmentsMerrill Lynch, Pierce, Fenner & Smith Incorporated03-23-2017
Tonya Nicole SmoakePurshe Kaplan Sterling InvestmentsMerrill Lynch, Pierce, Fenner & Smith Incorporated03-23-2017
Marshall Holt GilmanPurshe Kaplan Sterling InvestmentsSecurities Service Network, LLC03-22-2017
Thomas Russon BairdPurshe Kaplan Sterling InvestmentsSecurities Service Network, LLC03-22-2017
Grant Carey JohnstonePurshe Kaplan Sterling InvestmentsWells Fargo Advisors Financial Network, LLC$5002-01-2017
Mark Alan RenardPurshe Kaplan Sterling InvestmentsWells Fargo Advisors Financial Network, LLC$1002-01-2017
Jamie Lynn SullivanPurshe Kaplan Sterling InvestmentsWells Fargo Advisors Financial Network, LLC02-01-2017
Kenneth Daniel CoePurshe Kaplan Sterling InvestmentsFirst Heartland Capital, Inc.$5011-01-2016
Eric John SegerPurshe Kaplan Sterling InvestmentsFirst Heartland Capital, Inc.$711-01-2016
Joseph Thomas RomanoPurshe Kaplan Sterling InvestmentsMorgan Stanley10-28-2016
Raymond Anthony PruzinskyPurshe Kaplan Sterling InvestmentsWells Fargo Clearing Services, LLC10-18-2016
William Chad MittonPurshe Kaplan Sterling InvestmentsRaymond James Financial Services, Inc.10-14-2016
David Lee DorseyPurshe Kaplan Sterling InvestmentsRaymond James Financial Services, Inc.10-14-2016
Cody Lee AshtonPurshe Kaplan Sterling InvestmentsRaymond James Financial Services, Inc.$1010-14-2016
Brian C. SmalleyPurshe Kaplan Sterling InvestmentsRaymond James Financial Services, Inc.$1010-14-2016
Arrah-Wonah Michael NesterPurshe Kaplan Sterling InvestmentsRaymond James Financial Services, Inc.10-14-2016
Michael Patrick DowdPurshe Kaplan Sterling InvestmentsMerrill Lynch, Pierce, Fenner & Smith Incorporated09-21-2016
Marie Elizabeth StarkPurshe Kaplan Sterling InvestmentsCetera Financial Specialists LLC09-01-2016
Michael Joseph AnnunziataPurshe Kaplan Sterling InvestmentsAmeriprise Financial Services, LLC$3708-12-2016
Brett Philip HarrisPurshe Kaplan Sterling InvestmentsLPL Financial LLC07-29-2016
William John Roth IVPurshe Kaplan Sterling InvestmentsThe Centurion Group, LLC06-15-2016
Donald Edward SimmonsPurshe Kaplan Sterling InvestmentsLPL Financial LLC$2506-01-2016
Frank Joseph PolsinelloPurshe Kaplan Sterling InvestmentsMerrill Lynch, Pierce, Fenner & Smith Incorporated$15005-09-2016
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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 InvestmentNews.com and can not be resold, republished, redistributed, sublicensed, or copied for any other use without the permission of InvestmentNews LLC.