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.

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Adviser(s) Firm joining Firm leaving AUM ($M) Date
Mark Anthony Thomas TavernoMML Investors Services, LLCTD Ameritrade, Inc.$10009-23-2019
Shane Micheal RebertStifel, Nicolaus & Company, IncorporatedWells Fargo Clearing Services, LLC (Formerly Wells Fargo Advisors, LLC)09-23-2019
Romana Maria PopewinyCetera Investment Services LLCForesters Financial Services, Inc.$50009-21-2019
Anthony Louis DelucaCabot Lodge Securities LLCIFS Securities$25009-20-2019
Tricia Jean Tompkins-MortonRaymond James Financial Services, Inc.Wells Fargo Clearing Services, LLC (Formerly Wells Fargo Advisors, LLC)$50009-20-2019
Renee Diggan LaychurWheatland Advisors IncFNB Wealth Management09-20-2019
Anna Faye SpartzJ.P. Morgan Securities LLCM&T Securities, Inc.09-20-2019
Norman Stewart StrobelSecurities America, Inc.MML Investors Services, LLC$10009-19-2019
Matthew Glynn OxenreiterLPL Financial LLCCetera Advisor Networks LLC$50009-19-2019
Richard George EliasRodgers & AssociatesMerrill Lynch, Pierce, Fenner & Smith Incorporated09-19-2019
Eileen Jarrell PaulForefront Wealth ManagementProwell Financial Management, LLC09-19-2019
Christopher Paul EnglebertEnglebert Financial Advisors, LLCBeirne Wealth Consulting Services, LLC09-19-2019
Theodore Francis Staats IIILPL Financial LLCCetera Advisor Networks LLC09-19-2019
Justin Andrew McnicholasSantander Securities LLCSecurian Financial Services, Inc.09-19-2019
Robert Michael Cragle Jr.Cambridge Investment Research, Inc.Royal Alliance Associates, Inc.09-16-2019
Bradley Alan SwisherCambridge Investment Research, Inc.Royal Alliance Associates, Inc.09-16-2019
William Alan EvanchoRBC Capital Markets, LLCUBS Financial Services Inc.$10009-13-2019
Richard Michael CostaRBC Capital Markets, LLCUBS Financial Services Inc.$10009-13-2019
Jeffrey P SchmittRBC Capital Markets, LLCUBS Financial Services Inc.$15009-13-2019
Aaron Paul KingstonRBC Capital Markets, LLCUBS Financial Services Inc.$25009-13-2019
Shaun D. SmallWells Fargo Advisors Financial Network, LLCMorgan Stanley$50009-13-2019
Francis Gaughan PostLPL Financial LLCBerkshire Advisors, Inc.$50009-13-2019
Malcolm Roger ParksCetera Investment Services LLCInfinex Investments, Inc.$50009-13-2019
Lorne G. HammondEquity Services, Inc.MML Investors Services, LLC$10009-11-2019
John D TosattoMML Investors Services, LLCNorthwestern Mutual Investment Services, LLC$10009-11-2019
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Showing 1 to 25 of 162 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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