Advisers on the Move TEST

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
Kimberly Ann PenninePruco Securities, LLC.NYLIFE Securities LLC03-25-2020
Mark Eugene JohnsenMML Investors Services, LLCNYLIFE Securities LLC03-18-2020
James M. Lavelle IIIMML Investors Services, LLCNYLIFE Securities LLC03-02-2020
Timothy John LavelleMML Investors Services, LLCNYLIFE Securities LLC02-25-2020
Michele Victoria EdnockMML Investors Services, LLCNYLIFE Securities LLC02-10-2020
William Johnnathan ColonPark Avenue Securities LLCNYLIFE Securities LLC01-15-2020
Dilun WuHSBC Securities (USA) Inc.NYLIFE Securities LLC12-18-2019
Kevin Patrick Lake Jr.MML Investors Services, LLCNYLIFE Securities LLC10-31-2019
Gary Mark Barnes JrLPL Financial LLCNYLIFE Securities LLC10-15-2019
Shontae Diana TaylorMerrill Lynch, Pierce, Fenner & Smith IncorporatedNYLIFE Securities LLC09-25-2019
Peter Matthew HoffmanPruco Securities, LLC.NYLIFE Securities LLC09-24-2019
Edward F HeardW&S Brokerage Services, Inc.NYLIFE Securities LLC08-06-2019
Richard Joshua WhitelockMML Investors Services, LLCNYLIFE Securities LLC04-30-2019
Yu ChenJ. Alden Associates, Inc.NYLIFE Securities LLC02-13-2019
Mark Ronald DalbowInfinex Investments, Inc.NYLIFE Securities LLC12-14-2018
Ricardo E. HawkinsPruco Securities, LLC.NYLIFE Securities LLC08-23-2018
Derek Duhon FinneyHefren-Tillotson, Inc.NYLIFE Securities LLC05-23-2018
Patrick J. CarberryAXA Advisors, LLCNYLIFE Securities LLC03-15-2018
Jesse John BowmanThe Huntington Investment CompanyNYLIFE Securities LLC03-06-2018
Kerry Ann LapattaKey Investment Services LLCNYLIFE Securities LLC03-06-2018
Roberto Alvarez Alvarez AlonsoSantander Securities LLCNYLIFE Securities LLC02-23-2018
Robert Michael OddoPNC InvestmentsNYLIFE Securities LLC01-04-2018
Erin Amelia FurmanNYLIFE Securities LLCNYLIFE Securities LLC12-21-2017
James Oconnor ScottAXA Advisors, LLCNYLIFE Securities LLC12-12-2017
David Joseph HubbsMerrill Lynch, Pierce, Fenner & Smith IncorporatedNYLIFE Securities LLC10-13-2017
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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.