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


Adviser(s) Firm joining Firm leaving AUM ($M) Date
Daniel John AdamsAmeriprise Financial Services, Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated07-26-2019
Houston Tyler ThomAmeriprise Financial Services, Inc.GWN Securities Inc.05-08-2019
Michael E. ArthurAmeriprise Financial Services, Inc.UBS Financial Services Inc.$5003-22-2019
Patrick J HaleyAmeriprise Financial Services, Inc.Putnam Retail Management Limited Partnership12-14-2017
Donald Mark SafstromAmeriprise Financial Services, Inc.Financial Planners Northwest, Inc.11-09-2017
Joseph Robert WilliamsAmeriprise Financial Services, Inc.Financial Planners Northwest, Inc.10-27-2017
Kodi Robert HermannAmeriprise Financial Services, Inc.LPL Financial LLC$20009-22-2017
Emanuel Simion GradAmeriprise Financial Services, Inc.LPL Financial LLC09-22-2017
Maurice Anthony ValdiviesoAmeriprise Financial Services, Inc.Wells Fargo Clearing Services, LLC$7309-01-2017
Francisco Ricardo ValdiviesoAmeriprise Financial Services, Inc.Wells Fargo Clearing Services, LLC$5409-01-2017
Nathan Edward BauerAmeriprise Financial Services, Inc.Edward Jones08-11-2017
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
Karla Renee PembertonAmeriprise Financial Services, Inc.M Holdings Securities, Inc.04-21-2016
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
Rocky Joe NorrisAmeriprise Financial Services, Inc.Wells Fargo Clearing Services, LLC$5011-06-2015
Andrew Scott NorrisAmeriprise Financial Services, Inc.Wells Fargo Clearing Services, LLC11-06-2015
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Showing 1 to 25 of 50 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.


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