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

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Adviser(s) Firm joining Firm leaving AUM ($M) Date
Brian Mitchell ShannonAmeriprise Financial Services, Inc.J.W. Cole Financial, Inc.01-02-2018
Patrick J HaleyAmeriprise Financial Services, Inc.Putnam Retail Management Limited Partnership12-14-2017
Donald Mark SafstromAmeriprise Financial Services, Inc.Cambridge Investment Research, Inc.11-09-2017
Steven M PetermanAmeriprise Financial Services, Inc.FINANCIAL PLANNERS NORTHWEST, INC.10-27-2017
Emanuel Rick GradAmeriprise Financial Services, Inc.LPL Financial LLC09-22-2017
Kodi Robert HermannAmeriprise Financial Services, Inc.LPL Financial LLC$5009-22-2017
Francisco Ricardo ValdiviesoAmeriprise Financial Services, Inc.Wells Fargo Clearing Services, LLC$5409-01-2017
Maurice Anthony ValdiviesoAmeriprise Financial Services, Inc.Wells Fargo Clearing Services, LLC$1,00009-01-2017
Nathan Edward BauerAmeriprise Financial Services, Inc.Edward Jones08-11-2017
Leo Charles ClarkeAmeriprise Financial Services, Inc.Waddell & Reed07-28-2017
Ryan Edmond PriceAmeriprise Financial Services, Inc.Principal Securities, Inc.06-09-2017
Derek Allan GilbertAmeriprise Financial Services, Inc.Edward Jones04-28-2017
Brian Edwin GriffithAmeriprise Financial Services, Inc.LPL Financial LLC$15003-31-2017
Mark Brian DegnerAmeriprise Financial Services, Inc.LPL Financial LLC$15003-31-2017
Nicholas P NachburAmeriprise Financial Services, Inc.American Portfolios Financial Services, Inc.$7703-31-2017
Kelly Jon SteppAmeriprise Financial Services, Inc.Raymond James Financial Services, Inc.$1003-03-2017
Paula C JorgensenAmeriprise Financial Services, Inc.Morgan Stanley10-31-2016
Trevor Jewel LooneyAmeriprise Financial Services, Inc.Key Investment Services LLC09-14-2016
Karla Renee PembertonAmeriprise Financial Services, Inc.M Holdings Securities, Inc.$15004-21-2016
John G GriffithAmeriprise Financial Services, Inc.Edward Jones02-24-2016
Shawn Jeremiah ColucyAmeriprise Financial Services, Inc.Phillips & Company01-20-2016
Jeffrey Daniel EischenAmeriprise Financial Services, Inc.Edward Jones$5001-08-2016
Ronald Wingkai LamAmeriprise Financial Services, Inc.Wells Fargo Clearing Services, LLC$5011-24-2015
Michael Arthur SchorAmeriprise Financial Services, Inc.Brighton Jones LLC11-23-2015
Andrew Scott NorrisAmeriprise Financial Services, Inc.Wells Fargo Clearing Services, LLC11-06-2015
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Showing 1 to 25 of 66 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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