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
William Francis BernerUBS Financial Services Inc.D.A. Davidson & Co.06-10-2010
Charles Henry PutneyRBC Capital Markets, LLCUBS Financial Services Inc.06-11-2010
Jocelyn ServignatLPL Financial LLCTransamerica Financial Advisors, Inc06-11-2010
Todd Van SmithpeterSecurities America, Inc.StanCorp Equities, Inc.06-15-2010
Jason Allen SmithHausman Advisors, LLCKMS Financial Services, Inc.06-16-2010
Chuck Putney, Bill McCraeRBC Wealth ManagementUBS Financial Services Inc. Inc.$50006-17-2010
Steven Douglas StilesAllstate Financial Services, LLCFirst Allied Securities, Inc.06-21-2010
Catha Alberta SimonsAXA Advisors, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated06-24-2010
Kelly G. HigginsLPL Financial LLCEdward Jones$2506-25-2010
Steven Arthur RapfRBC Capital Markets, LLCUBS Financial Services Inc.06-25-2010
Barbara Minelli SeamanPlanMember Securities CorporationMetLife Securities Inc.$5006-30-2010
Keith MorganUmpqua Investments, Inc.UBS Financial Services Inc.$15007-15-2010
Isaac Louis SamsaWoodbury Financial Services, Inc.Signator Investors, Inc.07-19-2010
Kathy ShultzShultz Financial Planning, LLCEdward Jones07-21-2010
Tyler Anthony LulayRaymond James Financial Services, Inc.NYLIFE Securities LLC08-04-2010
Julia Renee LindbergCommonwealth Financial NetworkEdward Jones$2508-06-2010
Anthony Allen ReelLiberty Capital Investment CorporationD.A. Davidson & Co.$1008-13-2010
Stefanie Ann ReelLiberty Capital Investment CorporationD.A. Davidson & Co.08-13-2010
William Delacour Murphy Jr., Shalene Elise CaldwellWells Fargo Clearing Services, LLCMorgan Stanley$5009-07-2010
Anthony Joseph WhiteState Farm VP Management Corp.Country Capital Management Company09-16-2010
Dale Harvey NelsonKMS Financial Services, Inc.Raymond James Financial Services, Inc.$1009-20-2010
Larry Emil VanlaninghamRBC Capital Markets, LLCMorgan Stanley$15009-23-2010
Kevin Charles MorriceRBC Capital Markets, LLCMorgan Stanley$5009-23-2010
David Roy JarmanWells Fargo Clearing Services, LLCUBS Financial Services Inc.$10009-27-2010
Antone James GatherumGeneos Wealth Management, Inc.Securities America, Inc.09-30-2010
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Showing 201 to 225 of 1,183 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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