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
Lia Van De KrolWells Fargo Clearing Services, LLCAXA Advisors, LLC10-24-2018
Michael John LemarbreWells Fargo Clearing Services, LLCRaymond James & Associates, Inc.08-09-2018
Paula Gallagher MoseleyWells Fargo Clearing Services, LLCTouchstone Securities, Inc.06-27-2018
Maury Neal DavisWells Fargo Clearing Services, LLCMutual of America Securities LLC03-09-2018
Henry Hopkins NewtonWells Fargo Clearing Services, LLCEdward Jones$101-12-2018
Charles Philip StaplesWells Fargo Clearing Services, LLCFifth Third Securities, Inc.06-07-2017
Patrick Leonard NeelWells Fargo Clearing Services, LLCEdward Jones$101-25-2017
Rebecca Duckworth KernanWells Fargo Clearing Services, LLCStephens10-31-2016
Scott Thomas FarmerWells Fargo Clearing Services, LLCNationwide Securities, LLC10-04-2016
Gary Sidney JamesonWells Fargo Clearing Services, LLCUBS Financial Services Inc.$10009-09-2016
Anthony Arnall MorrisonWells Fargo Clearing Services, LLCRaymond James & Associates, Inc.$2507-27-2016
Nathan Lee TravisWells Fargo Clearing Services, LLCRaymond James & Associates, Inc.$2507-27-2016
Joseph Luis MartinezWells Fargo Clearing Services, LLCU.S. Bancorp Investments, Inc.$2806-15-2016
Fatima ZavalaWells Fargo Clearing Services, LLCJ.P. Morgan Securities LLC04-01-2016
David John StrnadWells Fargo Clearing Services, LLCMorgan Stanley02-18-2016
Andrew Johnson SutherlandWells Fargo Clearing Services, LLCRaymond James & Associates, Inc.$4301-25-2016
Christina T SmithWells Fargo Clearing Services, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$12911-25-2015
Gary Derond BakerWells Fargo Clearing Services, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$10011-25-2015
William Andrew Baker IIWells Fargo Clearing Services, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated11-25-2015
Kenneth Earl Hayes Jr.Wells Fargo Clearing Services, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$10011-19-2015
Kent Clyte MathisWells Fargo Clearing Services, LLCUBS Financial Services Inc.$5010-30-2015
Gary Steven HallWells Fargo Clearing Services, LLCB. Riley Wealth Management10-19-2015
William Bruce Patteson Sr.Wells Fargo Clearing Services, LLCCantor Fitzgerald & Co.05-20-2015
Arnold Mark StrengthWells Fargo Clearing Services, LLCTransamerica Financial Advisors, Inc04-24-2015
Aimee A HelmsWells Fargo Clearing Services, LLCJ.J.B. Hilliard, W.L. Lyons, LLC$10003-26-2015
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Showing 1 to 25 of 73 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.

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