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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Latest moves

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Adviser(s) Firm joining Firm leaving AUM ($M) Date
Kenneth Eugene HicksRaymond James & Associates, Inc.Wells Fargo Clearing Services, LLC$3202-16-2018
Aaron Michael GallowayRaymond James & Associates, Inc.Wells Fargo Clearing Services, LLC04-21-2017
Jeffery W LockmanRaymond James & Associates, Inc.Wells Fargo Clearing Services, LLC$5004-21-2017
Whitney Reed BurtonRaymond James & Associates, Inc.LPL Financial LLC04-21-2017
Amanda Simconis PostonRaymond James & Associates, Inc.Wells Fargo Clearing Services, LLC$1002-16-2017
Brandon Fisk BlountRaymond James & Associates, Inc.Citi Order Routing and Execution, LLC$109-15-2016
William Charles Tumlin, Arthur Frederick Levin, John Southall Sumner IIIRaymond James & Associates, Inc.Wells Fargo Clearing Services, LLC$39005-29-2015
Lawrence Grier WillifordRaymond James & Associates, Inc.SunTrust Investment Services, Inc.$10012-01-2014
Richard Diego VegaRaymond James & Associates, Inc.Morgan Stanley01-21-2014
Andrew Joseph NiehusRaymond James & Associates, Inc.Morgan Stanley08-23-2013
John Belk DaughtridgeRaymond James & Associates, Inc.Morgan Stanley10-10-2012
Christopher J BolleRaymond James & Associates, Inc.J.J.B. Hilliard, W.L. Lyons, LLC07-18-2012
Daniel J. GafgenRaymond James & Associates, Inc.Stifel, Nicolaus & Company, Incorporated03-09-2012
James Christopher MooreRaymond James & Associates, Inc.Stifel, Nicolaus & Company, Incorporated03-09-2012
Lisa PetersRaymond James & Associates, Inc.Girard Investment Services, LLC03-07-2012
Christopher Lawrence CorleyRaymond James & Associates, Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated02-24-2012
Mark Allen HubbardRaymond James & Associates, Inc.Morgan Stanley02-24-2012
Matthew David PardieckRaymond James & Associates, Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$5002-24-2012
Mattison Rhame MccurryRaymond James & Associates, Inc.UBS Financial Services Inc.$5007-28-2011
Carolyn Nicholson HashRaymond James & Associates, Inc.UBS Financial Services Inc.$10001-25-2011
Roy H. Seay Jr.Raymond James & Associates, Inc.UBS Financial Services Inc.01-25-2011
Michael Roy DuffRaymond James & Associates, Inc.Edward Jones07-30-2010
Brian Phillip SullivanRaymond James & Associates, Inc.ABN AMRO Clearing Chicago LLC01-08-2010
Alexander Opoulos IVRaymond James & Associates, Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$5011-13-2009
Nicholas C HolmesRaymond James & Associates, Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$11111-13-2009
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Showing 1 to 25 of 29 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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