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 Turner HorchPrincipal Securities, Inc.Geary Securities, Inc.$25010-13-2010
Lee Wesley Wadkins IIIPrincipal Securities, Inc.MWA Financial Services Inc.03-23-2011
Marci Jean HensleyPrincipal Securities, Inc.MWA Financial Services Inc.12-14-2012
Keri Lynn KalkaPrincipal Securities, Inc.MWA Financial Services Inc.02-01-2013
Rick Arlen EvansPrincipal Securities, Inc.Allstate Financial Services, LLC08-19-2013
Robert Scott BurchPrincipal Securities, Inc.MWA Financial Services Inc.$10010-22-2013
Neal Gregory WasemillerPrincipal Securities, Inc.AXA Advisors, LLC09-01-2015
David Brandon CottrellPrincipal Securities, Inc.TradingBlock$25004-03-2017
Kenneth Wayne MonkPrincipal Securities, Inc.AXA Advisors, LLC$10005-18-2017
Cathy Darlene GaitherPrincipal Securities, Inc.Transamerica Financial Advisors, Inc$10005-30-2017
Diana Haywood PierrePrincipal Securities, Inc.Foresters Financial Services, Inc.08-29-2017
Vicky Leigh BowronPrincipal Securities, Inc.First Command Financial Planning, Inc.04-02-2018
Joseph Michael CappsPrincipal Securities, Inc.Farmers Financial Solutions, LLC05-01-2018
Shawna Dorsia Anderson ReevesPrincipal Securities, Inc.Foresters Financial Services, Inc.05-16-2018

Showing 1 to 14 of 14 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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