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

Results filtered by


Adviser(s) Firm joining Firm leaving AUM ($M) Date
Eric Peter PiferChase Investment Services Corp.Phillips & Company Securities Inc.05-28-2010
Adam James DaleMerrill Lynch, Pierce, Fenner & Smith IncorporatedAXA Advisors, LLC06-03-2010
Theodore Peter AnagnosMerrill Lynch, Pierce, Fenner & Smith IncorporatedEdward Jones$10006-04-2010
Brian Robert WestAllstate Financial Services, LLCState Farm VP Management Corp.$2506-07-2010
William Marshall RawsonGranite Capital Advisors, LLCCambridge Investment Research, Inc.06-07-2010
Mark Garald DerbyNYLIFE Securities LLCAllstate Financial Services, LLC06-08-2010
William Francis BernerUBS Financial Services Inc.D.A. Davidson & Co.06-10-2010
Charles Henry PutneyRBC Capital Markets, LLCUBS Financial Services Inc.$106-11-2010
Jocelyn ServignatLPL Financial LLCTransamerica Financial Advisors, Inc$10006-11-2010
William Wallace MccraeRBC Capital Markets, LLCUBS Financial Services Inc.06-11-2010
Todd Van Van SmithpeterSecurities America, Inc.StanCorp Equities, Inc.$5006-15-2010
Jason Allen SmithHausman Advisors, LLCKMS Financial Services, Inc.06-16-2010
Chuck Putney, Bill McCraeRBC Wealth ManagementUBS Financial Services$50006-17-2010
Steven Douglas StilesAllstate Financial Services, LLCFirst Allied Securities, Inc.$15006-21-2010
Catha Alberta SimonsAXA Advisors, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$1006-24-2010
Jonathan Martin JohansenLPL Financial LLCTransamerica Financial Advisors, Inc06-24-2010
Kelly G. HigginsLPL Financial LLCEdward Jones$106-25-2010
Steven Arthur RapfRBC Capital Markets, LLCUBS Financial Services Inc.06-25-2010
Mark Eric ChampionMorgan StanleyPiper Jaffray Investment Management, LLC06-28-2010
Erica Alikpala CortezWoodbury Financial Services, Inc.World Group Securities, Inc.06-29-2010
Barbara Minelli SeamanPlanMember Securities CorporationMetLife Securities Inc.$5006-30-2010
Fiona Karen CosmannU.S. Bancorp Investments, Inc.Chase Investment Services Corp.06-30-2010
Jan Mark StouberU.S. Bancorp Investments, Inc.Chase Investment Services Corp.06-30-2010
Travis Neil AllanChase Investment Services Corp.South Valley Wealth Management06-30-2010
John David CrabtreeU.S. Bancorp Investments, Inc.Chase Investment Services Corp.07-02-2010
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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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