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
Tonya NicholsRBC Wealth ManagementRobert W. Baird & Co.$12206-02-2017
David Douglas Swanson Jr.Swanson Financial Services, Inc.MML Investors Services, LLC05-31-2017
Tai Git WongWells Fargo Clearing Services, LLCJ.P. Morgan Securities LLC$105-30-2017
Ricky Alan SanfordCetera Investment Services LLCEdward Jones$2505-18-2017
Tonya Ruth NicholsRBC Capital Markets, LLCRobert W. Baird & Co. Incorporated$10005-18-2017
James Henry SkinnerKey Investment Services LLCJ.P. Morgan Securities LLC05-17-2017
Forbes RobinsonFinancial Advocates Investment ManagementWaddell and Reed$6005-17-2017
David Clark EderEdward JonesJ.P. Morgan Securities LLC05-09-2017
Matthew David PetroneVoya Financial Advisors, Inc.AXA Advisors, LLC05-05-2017
Joshua Quinn CepedaConfluence Wealth Management LLCWells Fargo Clearing Services, LLC05-04-2017
Alexander Richard SoberanisNorthwestern Mutual Investment Services, LLCCountry Capital Management Company05-03-2017
Ernest Michael BossoPruco Securities, LLC.Cetera Advisors LLC$105-03-2017
Francisco Marquez MarquezMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley05-03-2017
Anthony Christopher RueU.S. Bancorp Investments, Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated05-01-2017
Jay TobiasLPL FinancialWells Fargo Advisors$9605-01-2017
Derek Allan GilbertAmeriprise Financial Services, Inc.Edward Jones04-28-2017
Howard Curtis WidoffWells Fargo Clearing Services, LLCMorgan Stanley$2504-28-2017
Lucas Benjamin WidoffWells Fargo Clearing Services, LLCMorgan Stanley04-28-2017
Tyler Jon CookWoodbury Financial Services, Inc.Hornor, Townsend & Kent, LLC04-28-2017
Kirby Wen ChienEdward JonesPrincipal Securities, Inc.04-24-2017
Neal Albert RichardsCascade Financial StrategiesWells Fargo Clearing Services, LLC04-21-2017
Richard Perris DougallEncompass Financial PlanningNorthwest Wealth Advisors, Inc04-19-2017
Lindsey Taylor SimmonsU.S. Bancorp Investments, Inc.Waddell & Reed04-18-2017
Neal GovernorWells Fargo Clearing Services, LLCKey Investment Services LLC04-18-2017
Lindsay Michelle KrivoshaRobert W. Baird & Co. IncorporatedRBC Capital Markets, LLC$1004-07-2017
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Showing 226 to 250 of 1,542 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.

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