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

Adviser(s) Firm joining Firm leaving AUM ($M) Date
Jonathan Mac LaffertyPrincipal Securities, Inc.MetLife Securities Inc.10-15-2009
Matthew David PevahousePrincipal Securities, Inc.Investors Capital Corp.05-10-2010
Dorothy Dacus NorthamPrincipal Securities, Inc.MML Investors Services, LLC06-07-2012
David Thomas HowellPrincipal Securities, Inc.MML Investors Services, LLC05-28-2014
Gerald Artemus NelsonPrincipal Securities, Inc.Waddell & Reed07-18-2016
Timothy J. HancockPrincipal Securities, Inc.NYLIFE Securities LLC09-15-2016
James Michael BrockPrincipal Securities, Inc.Lincoln Financial Advisors Corporation09-26-2016
John LaffertyPrincipal Securities, Inc.MML Investors Services, LLC05-05-2017
Bobby Hilton ChristianPrincipal Securities, Inc.Pruco Securities, LLC.06-13-2017
Jared P. RoatenPrincipal Securities, Inc.SunTrust Investment Services, Inc.$2502-15-2018
Toby Dvare FlorekPrincipal Securities, Inc.Farmers Financial Solutions, LLC04-02-2018
Calvin Mark Taylor Jr.Principal Securities, Inc.MML Investors Services, LLC06-04-2018
Richard PoolePrincipal Securities, Inc.Farmers Financial Solutions, LLC07-16-2018
John Patterson CoreyPrincipal Securities, Inc.M Holdings Securities, Inc.$5011-06-2018

Showing 1 to 14 of 14 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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