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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Latest moves

Adviser(s) Firm joining Firm leaving AUM ($M) Date
Patrick Matthew HaleKey Investment Services LLCSII Investments, Inc.04-22-2009
Robert E. NorthWoodbury Financial Services, Inc.SII Investments, Inc.07-18-2011
Timothy Kenneth TankMorgan StanleySII Investments, Inc.$2507-16-2013
Gail Coulter HarrowerAmeriprise Financial Services, LLCSII Investments, Inc.$5011-15-2013
Larry Lee ElliottIndependent Financial Group, LLCSII Investments, Inc.10-16-2015
Richard George ThomasIndependent Financial Group, LLCSII Investments, Inc.10-19-2015
Tom Vincent BrattainSecurities America, Inc.SII Investments, Inc.10-17-2017
Nathan Allen BellSecurities America, Inc.SII Investments, Inc.$5010-17-2017
Michael W. PattersonSecurities America, Inc.SII Investments, Inc.$2510-17-2017
Roger Harvey BlytheSecurities America, Inc.SII Investments, Inc.$1410-24-2017
James Winfred ShorrSecurities America, Inc.SII Investments, Inc.10-25-2017
Scott Wayne HamerslySecurities America, Inc.SII Investments, Inc.$20010-26-2017
Sandra Jean WagnerKMS Financial Services, Inc.SII Investments, Inc.11-01-2017
Chad Everett StaskalUnited Planners' Financial Services of America A Limited PartnerSII Investments, Inc.11-16-2017
Mathew W HunnicuttUnited Planners' Financial Services of America A Limited PartnerSII Investments, Inc.$2511-16-2017
Andrew Charles FrazierSecurities America, Inc.SII Investments, Inc.$5011-27-2017
Greg Norio KimuraSecurities America, Inc.SII Investments, Inc.$2512-02-2017

Showing 1 to 17 of 17 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.