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
Budd Lee CollingsPrincipal Securities, Inc.Cetera Advisor Networks LLC$107-06-2017
Aaron David OnealPrincipal Securities, Inc.U.S. Bancorp Investments, Inc.02-10-2017
Curt William TaylorPrincipal Securities, Inc.AXA Advisors, LLC02-27-2015
Michael Dennis HergertPrincipal Securities, Inc.MetLife Securities Inc.02-03-2015
Glenn Robert SmithPrincipal Securities, Inc.MetLife Securities Inc.01-09-2015
Scott Michael SmithPrincipal Securities, Inc.MetLife Securities Inc.11-21-2014
Kirby Wen ChienPrincipal Securities, Inc.AXA Advisors, LLC10-14-2014
John Bryan KaiserPrincipal Securities, Inc.MML Investors Services, LLC06-02-2014
Nana Goto BellerudPrincipal Securities, Inc.MML Investors Services, LLC04-29-2014
Kevin James HoarPrincipal Securities, Inc.Waddell & Reed01-28-2014
David Ernest DurantPrincipal Securities, Inc.AXA Advisors, LLC01-14-2014
Kenneth Andrew HoilandPrincipal Securities, Inc.MetLife Securities Inc.$101-08-2014
Michael Richard AllenPrincipal Securities, Inc.MetLife Securities Inc.$5012-06-2013
Mary Frances DillPrincipal Securities, Inc.MetLife Securities Inc.$2512-04-2013
Richard Arthur DixonPrincipal Securities, Inc.MetLife Securities Inc.10-24-2013
Stephen James CarrollPrincipal Securities, Inc.LPL Financial LLC12-14-2012
Howell Harvey Hughes Jr.Principal Securities, Inc.Park Avenue Securities LLC08-07-2012
Anthony Philip LuciaPrincipal Securities, Inc.Edward Jones04-16-2012
Ryan Mason TangvaldPrincipal Securities, Inc.Pacific Select Distributors, LLC03-12-2012
Laura L. CoatsPrincipal Securities, Inc.Voya Financial Advisors, Inc.11-01-2011

Showing 1 to 20 of 20 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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