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
Scott David JonesLPL Financial LLCMutual Service Corporation09-08-2009
Michael Sean VereenMML Investors Services, LLCLPL Financial LLC09-11-2009
Travis A HutchinsonHHM Wealth Advisors, LLCCambridge Investment Research, Inc.09-15-2009
James William Ferrell Jr.LPL Financial LLCRaymond James & Associates, Inc.09-17-2009
Robert Charles KloseRaymond James & Associates, Inc.Wells Fargo Clearing Services, LLC$5009-18-2009
Constance Overbey LuttrellThe Investment Center, Inc.Wall Street Financial Group, Inc.10-01-2009
David Martin BowenAmeriprise Financial Services, Inc.H&R Block Financial Advisors, Inc.10-05-2009
Bryant Edwin CavenessAmeriprise Financial Services, Inc.H&R Block Financial Advisors, Inc.10-05-2009
Jonathan Mac LaffertyPrincipal Securities, Inc.MetLife Securities Inc.10-15-2009
Donna Jean BillingsStifel, Nicolaus & Company, IncorporatedUBS Financial Services Inc.10-16-2009
Milton J. Smylie Jr.Stifel, Nicolaus & Company, IncorporatedUBS Financial Services Inc.10-16-2009
Michael Wayne ThomasMerrill Lynch, Pierce, Fenner & Smith IncorporatedBanc of America Investment Services, Inc.$10010-23-2009
Mark Leslie MintzMerrill Lynch, Pierce, Fenner & Smith IncorporatedBanc of America Investment Services, Inc.10-23-2009
Karen Louise GravesMerrill Lynch, Pierce, Fenner & Smith IncorporatedBanc of America Investment Services, Inc.10-23-2009
James Timothy GattisMerrill Lynch, Pierce, Fenner & Smith IncorporatedBanc of America Investment Services, Inc.10-23-2009
William Howard WadeMerrill Lynch, Pierce, Fenner & Smith IncorporatedBanc of America Investment Services, Inc.10-23-2009
Zachary Hoyt RichardsMerrill Lynch, Pierce, Fenner & Smith IncorporatedBanc of America Investment Services, Inc.10-23-2009
Chris Christopher MitchellMerrill Lynch, Pierce, Fenner & Smith IncorporatedBanc of America Investment Services, Inc.10-23-2009
Raj Kumar PatnaikMerrill Lynch, Pierce, Fenner & Smith IncorporatedBanc of America Investment Services, Inc.10-23-2009
Maria Leda GoebelMerrill Lynch, Pierce, Fenner & Smith IncorporatedBanc of America Investment Services, Inc.10-23-2009
Lisa WebbMerrill Lynch, Pierce, Fenner & Smith IncorporatedBanc of America Investment Services, Inc.10-23-2009
Dennis Edward GagnonCenter Street Securities, Inc.USA Financial Securities Corporation10-29-2009
John Gregory SpainEdward JonesJ.J.B. Hilliard, W.L. Lyons, LLC11-06-2009
James Michael Woods Jr.LPL Financial LLCEdward Jones11-12-2009
Steven Trevor SkipperLPL Financial LLCEdward Jones11-12-2009
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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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