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
Sandra J. WagnerKMS Financial Services, Inc.SII Investments, Inc.$111-01-2017
Christopher Walter RicePark Avenue Securities LLCWaddell & Reed10-31-2017
John Taylor ClosiFinancial Advocates Investment ManagementAmeriprise Financial Services, Inc.10-31-2017
Kerri Ann PatrickLPL Financial LLCSagePoint Financial, Inc.$1010-31-2017
Mark Edward GreenawaltBancWest Investment Services, Inc.Wells Fargo Clearing Services, LLC10-31-2017
Ryan Michael MohrClarity Capital Management LLCM Holdings Securities, Inc.10-31-2017
Steven M PetermanAmeriprise Financial Services, Inc.FINANCIAL PLANNERS NORTHWEST, INC.10-27-2017
Scott Wayne HamerslySecurities America, Inc.SII Investments, Inc.$20010-26-2017
James Winfred ShorrSecurities America, Inc.SII Investments, Inc.$110-25-2017
Roger Harvey BlytheSecurities America, Inc.SII Investments, Inc.$1410-24-2017
Andrew Michael KangasCoastal Equities, Inc.KMS Financial Services, Inc.10-23-2017
Michael Charles SnowPruco Securities, LLC.Waddell & Reed10-23-2017
Taylor Desmond AshlandDFPG Investments, Inc.Parkland Securities, LLC10-23-2017
Matthew David PetroneLPL Financial LLCVoya Financial Advisors, Inc.10-19-2017
Michael W PattersonSecurities America, Inc.SII Investments, Inc.$2510-17-2017
Nathan Allen BellSecurities America, Inc.SII Investments, Inc.$5010-17-2017
Tom Vincent BrattainSecurities America, Inc.SII Investments, Inc.10-17-2017
Joel David HooperIndependent Financial Group, LLCLPL Financial LLC$5010-16-2017
Mark Tennyson DwightIndependent Financial Group, LLCLPL Financial LLC$2510-16-2017
Jeffery Wayne HillKMS Financial Services, Inc.National Planning Corporation10-13-2017
Jennifer Lee HarmanUnionBanc Investment Services, LLCU.S. Bancorp Investments, Inc.10-12-2017
Stanley Lingfeng ChenMML Investors Services, LLCNYLIFE Securities LLC10-10-2017
Andre Philip BouchardWells Fargo Clearing Services, LLCJ.P. Morgan Securities LLC09-29-2017
Robert Gerald FogartyForesters Financial Services, Inc.J.P. Morgan Securities LLC09-29-2017
Mary Moose Garlock RFCCetera Advisors LLCINVEST Financial Corporation$2509-25-2017
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Showing 151 to 175 of 1,539 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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