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.

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Adviser(s) Firm joining Firm leaving AUM ($M) Date
James Montgomery Dula, William Scott Parkhurst, Nathan Franklin ParkhurstCommonwealth Financial NetworkUBS Financial Services Inc.$10005-27-2011
Shane Ellis UnsworthUBS Financial Services Inc.Wells Fargo Clearing Services, LLC05-27-2011
Joshua Jacob BauerVoya Financial Advisors, Inc.Thrivent Investment Management Inc.05-31-2011
Bradley David BushCambridge Investment Research, Inc.Next Financial Group, Inc.06-03-2011
Maureen Anne MaciverCary Street PartnersFTB Advisors, Inc.06-15-2011
Lowell Dale FriendWells Fargo Clearing Services, LLCEdward Jones$15006-17-2011
Eric Brett HardingMerrill Lynch, Pierce, Fenner & Smith IncorporatedSunTrust Investment Services, Inc.06-20-2011
Larry Nelson GroganGrogan Advisory Services, LLCSecurities Service Network, LLC06-28-2011
John Hugh WheelerMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley$2506-30-2011
Vivian Rene HoughlandVALIC Financial Advisors, Inc.Wiley Bros.-Aintree Capital, LLC07-01-2011
Charles Stanley Wagner Jr.LPL Financial LLCUvest Financial Services Group, Inc.$1007-05-2011
Charles Ray RussellLPL Financial LLCUvest Financial Services Group, Inc.07-05-2011
Wendy Evette ShinaultLPL Financial LLCUvest Financial Services Group, Inc.07-05-2011
Caroline Stewart CoxCary Street PartnersFTB Advisors, Inc.07-05-2011
Kimberly Dawn HolleyCary Street PartnersFTB Advisors, Inc.07-05-2011
Jason Michael ArditoCary Street PartnersFTB Advisors, Inc.07-05-2011
Laura Elizabeth Faucette KnightMorgan StanleyUBS Financial Services Inc.07-05-2011
William Cary AllenLPL Financial LLCUvest Financial Services Group, Inc.07-05-2011
Carlyle Davidson AppleCrown Capital Securities, L.P.Berthel, Fisher & Company Financial Services, Inc.$2507-15-2011
Richard Oliver McBryde Jr.NYLIFE Securities LLCWaddell & Reed07-19-2011
Leanna Marie HarrisonLPL Financial LLCUvest Financial Services Group, Inc.08-31-2011
Mark Todd JacobsMorgan StanleyLPL Financial LLC$5009-08-2011
Lester Russell Kefauver IVLPL Financial LLCJ.J.B. Hilliard, W.L. Lyons, LLC09-08-2011
John Mark McAnallyWells Fargo Clearing Services, LLCEdward Jones09-15-2011
Bennett Joseph Jared, Michelle Nunley WhiteakerCommonwealth Financial NetworkWells Fargo Clearing Services, LLC$5009-23-2011
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Showing 301 to 325 of 1,561 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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