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
Randall A. McCordCetera Advisors LLCCetera Financial Specialists LLC07-21-2014
Mary Turner MooseCetera Advisors LLCINVEST Financial Corporation09-25-2017
Wayne Gerard SweatCetera Advisors LLCInvestors Capital Corp.$1010-03-2016
Brian Sun McDowellCetera Advisors LLCJ.P. Morgan Securities LLC09-30-2016
Robert Sean O'ConnellCetera Advisors LLCJ.P. Morgan Securities LLC06-26-2015
James Alan KuxhausCetera Advisors LLCLPL Financial LLC$1808-25-2016
Sherman Phillip OberCetera Advisors LLCNext Financial Group, Inc.$1011-21-2016
Michael Paul JeanfreauCetera Advisors LLCPacific West Securities, Inc.$2503-15-2012
John Martin PeytonCetera Advisors LLCPacific West Securities, Inc.$10002-28-2012
Daniel Kevin O'DohertyCetera Advisors LLCPacific West Securities, Inc.$5002-28-2012
Royd Raymond ArchCetera Advisors LLCPacific West Securities, Inc.$2502-28-2012
Eric S EvansCetera Advisors LLCPacific West Securities, Inc.$2502-28-2012
Robert Donald ShojiCetera Advisors LLCPacific West Securities, Inc.02-28-2012
Sandra L. Hay MagdalenoCetera Advisors LLCPacific West Securities, Inc.02-28-2012
David Joseph PetersonCetera Advisors LLCPacific West Securities, Inc.02-28-2012
William Noel ThomasCetera Advisors LLCSecurities America, Inc.10-25-2011
Casey Richard LongCetera Advisors LLCSecurities America, Inc.$1010-24-2011
Jeffrey William StclairCetera Advisors LLCSecurities America, Inc.10-24-2011
Ronald Wayne EllsworthCetera Advisors LLCSecurities America, Inc.10-24-2011
Blaine Evans BurnettCetera Advisors LLCThe Leaders Group, Inc.02-24-2016
Susan Lepska SchwarzCetera Advisors LLCTransamerica Financial Advisors, Inc03-11-2013

Showing 1 to 21 of 21 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 InvestmentNews.com and can not be resold, republished, redistributed, sublicensed, or copied for any other use without the permission of InvestmentNews LLC.

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