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
Patrick J HaleyAmeriprise Financial Services, Inc.Putnam Retail Management Limited Partnership12-14-2017
Melissa Ann LoganSecurities America, Inc.Cetera Advisors LLC12-13-2017
Scott Alan ReinkeJ.P. Morgan Securities LLCVanguard Marketing Corporation12-13-2017
Jason Bratt, David Nanson, Ashley ColvinDynasty Financial PartnersUBS Financial Services$22812-05-2017
Edward Michael HassanWells Fargo Clearing Services, LLCJ.P. Morgan Securities LLC$15012-04-2017
Gregory Norio KimuraSecurities America, Inc.SII Investments, Inc.$2512-02-2017
David Kenneth NansonPurshe Kaplan Sterling InvestmentsUBS Financial Services Inc.$111-30-2017
Jason Alexander BrattPurshe Kaplan Sterling InvestmentsUBS Financial Services Inc.$20011-30-2017
Thomas Andrew Walker Jr.LPL Financial LLCEdward Jones11-30-2017
Daniel Floyd SchuetteLPL Financial LLCInvestment Centers of America, Inc.$2511-29-2017
David Bruce HortonLPL Financial LLCNational Planning Corporation$5011-29-2017
Joseph William Ritacco Jr.LPL Financial LLCNational Planning Corporation11-29-2017
Luke Bartow DicksonLPL Financial LLCNational Planning Corporation$2511-29-2017
Mark Richard LerfaldLPL Financial LLCNational Planning Corporation$5011-29-2017
Mary Ann LopezLPL Financial LLCNational Planning Corporation11-29-2017
Paul Matthew SabinsLPL Financial LLCNational Planning Corporation$111-29-2017
Tommy Dean BentleyLPL Financial LLCNational Planning Corporation$111-29-2017
Andrew Charles FrazierSecurities America, Inc.SII Investments, Inc.$5011-27-2017
Cambrianne StaskalUnited Planners' Financial Services of America A Limited PartnerSII Investments, Inc.11-16-2017
Diana PlatikaSecurities America, Inc.Signator Investors, Inc.11-16-2017
Mathew W HunnicuttUnited Planners' Financial Services of America A Limited PartnerSII Investments, Inc.$2511-16-2017
Steven James EstesLPL Financial LLCWaddell & Reed$5011-16-2017
Stefano Mario ListellaJ.P. Morgan Securities LLCGreat Point Capital LLC11-11-2017
Donald Mark SafstromAmeriprise Financial Services, Inc.Cambridge Investment Research, Inc.11-09-2017
Coleman Andrew WebbRaymond James Financial Services, Inc.Key Investment Services LLC11-06-2017
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Showing 126 to 150 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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