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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Adviser(s) Firm joining Firm leaving AUM ($M) Date
Jose Anthony FloresRoyal Alliance Associates, Inc.Prime Capital Services, Inc.01-16-2009
Matthew Adam BleckerRoyal Alliance Associates, Inc.Affiliated Advisors, Inc.$25002-13-2009
Craig Allen HouckRoyal Alliance Associates, Inc.AXA Advisors, LLC$15003-06-2009
David James ReadRoyal Alliance Associates, Inc.Securities Service Network, LLC$25009-23-2009
William Brian ReadRoyal Alliance Associates, Inc.Securities Service Network, LLC$25009-23-2009
George Luis CardonaRoyal Alliance Associates, Inc.TFS Securities, Inc.12-01-2009
Earl Albert KetryRoyal Alliance Associates, Inc.Saperston Asset Management, Inc.$25002-19-2010
James Joseph GracikRoyal Alliance Associates, Inc.Triad Advisors LLC$10002-26-2010
Keith Douglas HarderRoyal Alliance Associates, Inc.Triad Advisors LLC$25002-26-2010
Erickson Richard BraundRoyal Alliance Associates, Inc.Triad Advisors LLC$50002-26-2010
Frederick John SchaardRoyal Alliance Associates, Inc.Triad Advisors LLC02-26-2010
William Edward StewartRoyal Alliance Associates, Inc.Triad Advisors LLC02-26-2010
Darrin Barton FarrowRoyal Alliance Associates, Inc.Triad Advisors LLC02-26-2010
Denise G. SowellRoyal Alliance Associates, Inc.Nationwide Securities, LLC$10007-16-2010
James Rodney GoffRoyal Alliance Associates, Inc.Nationwide Securities, LLC$50007-16-2010
Jerry Mark BernsteinRoyal Alliance Associates, Inc.Nationwide Securities, LLC$10007-30-2010
Maria Ines DasilvaRoyal Alliance Associates, Inc.Nationwide Securities, LLC$10007-30-2010
Rosemarie Llaneza EsteibarRoyal Alliance Associates, Inc.Nationwide Securities, LLC$25007-30-2010
Kenneth Edward DimiccoRoyal Alliance Associates, Inc.Nationwide Securities, LLC$25007-30-2010
Jeffrey Scott FuchsRoyal Alliance Associates, Inc.Nationwide Securities, LLC07-30-2010
Mark Andre PoitrasRoyal Alliance Associates, Inc.Nationwide Securities, LLC07-30-2010
Jon Leete HaagenRoyal Alliance Associates, Inc.Vanderbilt Securities, LLC$25008-05-2010
Dennis Paul ClarkRoyal Alliance Associates, Inc.Vanderbilt Securities, LLC$10008-06-2010
Henry Thomas SeegersRoyal Alliance Associates, Inc.Vanderbilt Securities, LLC$10008-06-2010
David Anthony CritelliRoyal Alliance Associates, Inc.Vanderbilt Securities, LLC$50008-06-2010
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Showing 1 to 25 of 132 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 InvestmentNews.com and can not be resold, republished, redistributed, sublicensed, or copied for any other use without the permission of InvestmentNews LLC.

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