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
Ralph England Braden Jr.Morgan StanleyCitigroup Global Markets Inc.06-01-2009
Michael Andrew ValentineMorgan StanleyMorgan Stanley & Co. LLC06-01-2009
Charlotte Childress MartinFSC Securities CorporationProEquities, Inc.06-02-2009
Michael Eugene GoldstonThoroughbred Financial Services, LLCCambridge Equity Advisors Inc$15006-08-2009
Raymond Lee Mockmore Sr.Thoroughbred Financial Services, LLCCambridge Way, Inc.$5006-08-2009
Richard Marc Scharff, Kevin Wade BryantUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated06-19-2009
James Nathan KraeskeBrogan Financial, Inc.VALIC Financial Advisors, Inc.06-25-2009
Francis Patrick CunninghamB. Riley Wealth ManagementMorgan Keegan & Company, Inc.$10006-26-2009
Kyle Steven LuthyAmeriprise Financial Services, Inc.UBS Financial Services Inc.$2507-01-2009
David Allen KautzLPL Financial LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated07-01-2009
Gary Franklin PolingProEquities, Inc.Money Concepts Capital Corp07-01-2009
John Hall Haselton, Jason Daniel PatrickMerrill Lynch, Pierce, Fenner & Smith IncorporatedUBS Financial Services Inc.$15007-07-2009
David Daniel StrattonVALIC Financial Advisors, Inc.Wells Fargo Clearing Services, LLC07-13-2009
Joseph Mccaughan MorrisonSentry, LLCMorgan Keegan & Company, Inc.07-15-2009
Julius Reynard Moody IIWaddell & ReedMerrill Lynch, Pierce, Fenner & Smith Incorporated$5007-27-2009
Dale Prescott BealsPortfolio WisdomSumner Asset Management, Inc.07-29-2009
William Jackson Chrisman Jr.Evergreen Advisors, LLCEvergreen Management, Llc08-03-2009
Roger Edward KigerPurshe Kaplan Sterling InvestmentsCommonwealth Financial Network08-28-2009
Ronald Jay NaegleWoodbury Financial Services, Inc.Commonwealth Financial Network$20009-04-2009
David Robert McCainWoodbury Financial Services, Inc.Commonwealth Financial Network09-04-2009
David Harry DavisLPL Financial LLCMutual Service Corporation$10009-08-2009
Thomas Edward WatsonLPL Financial LLCMutual Service Corporation$2509-08-2009
Luane Davis CulpepperLPL Financial LLCMutual Service Corporation09-08-2009
Crystal Leigh WalkerLPL Financial LLCMutual Service Corporation09-08-2009
John William CobbLPL Financial LLCMutual Service Corporation09-08-2009
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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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