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

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Adviser(s) Firm joining Firm leaving AUM ($M) Date
David C. TateAmeriprise Financial Services, Inc.Credit Suisse Securities (USA) LLC01-13-2014
Jared Christopher WixMerrill Lynch, Pierce, Fenner & Smith IncorporatedEdward Jones01-17-2014
Jack Wendell Griffith Jr.Janney Montgomery Scott LLCAmeriprise Financial Services, Inc.$2501-27-2014
John Wells Chapman Jr.Janney Montgomery Scott LLCAmeriprise Financial Services, Inc.$2501-27-2014
Michael Edward Felton IIMerrill Lynch, Pierce, Fenner & Smith IncorporatedFirst Citizens Asset Management, Inc01-27-2014
Jack W. Griffith IIIJanney Montgomery Scott LLCAmeriprise Financial Services, Inc.01-27-2014
Jack W. Griffith, Jr., Jack W. Griffith, III, John W. ChapmanJanney Montgomery ScottAmeriprise Financial Services, Inc.$10101-30-2014
Lisbeth L. CherringtonFSC SecuritiesMorgan Stanley$30001-31-2014
Michael Kenneth BrotskyFSC Securities CorporationMorgan Stanley01-31-2014
Daniel Joseph SeamanMorgan StanleyWells Fargo Clearing Services, LLC01-31-2014
William Gregory StidomLPL Financial LLCCUNA Brokerage Services, Inc.02-03-2014
Russell Allen PadgettAllstate Financial Services, LLCAXA Advisors, LLC02-10-2014
John Rainey PatrickRaymond James Financial Services, Inc.LPL Financial LLC03-10-2014
George Cameron Todd Jr.Raymond James Financial Services, Inc.Morgan Stanley$10003-13-2014
Steven Berry FordRaymond James Financial Services, Inc.Morgan Stanley$5003-13-2014
Matthew Radcliff LoweryThe Strategic Financial Alliance, Inc.Coastal Capital Advisors, LLC03-17-2014
Elizabeth Michelle IvyHarborVest, LLCMML Investors Services, LLC03-24-2014
Barre McLeod Butler, Park B. Smith, Jr., W. Hampton Avant, Lucinda ShieldsStifel, Nicolaus & Company, IncorporatedUBS Financial Services Inc. Inc.$54203-27-2014
David SpellWells Fargo AdvisorsUBS Financial Services Inc. Inc.$8603-27-2014
Lucinda Emley ShieldsStifel, Nicolaus & Company, IncorporatedUBS Financial Services Inc.$5003-27-2014
David T. Spell Jr.Wells Fargo Clearing Services, LLCUBS Financial Services Inc.$5003-27-2014
Kevin Copple AustinPruco Securities, LLC.MetLife Securities Inc.03-27-2014
Thomas A. Brophy IIILPL Financial LLCFSC Securities Corporation$15003-31-2014
Raymond Bennett Firestone Jr.LPL Financial LLCFSC Securities Corporation$10003-31-2014
David Joseph MandellLPL Financial LLCFSC Securities Corporation$1003-31-2014
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Showing 351 to 375 of 1,034 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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