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
Desiree Elaine BatisteNext Financial Group, Inc.1st Discount Brokerage, Inc.09-01-2015
Ward Wesley MolenMajors & Mondragon, LLC.1st Global Advisors Inc08-07-2019
Ward Wesley MolenMajors & Mondragon, LLC.1st Global Advisors Inc08-07-2019
Brent Shepherd, Ken DayLPL Financial LLC1st Global Capital$15002-06-2019
Duncan Bradley GreenGreen & Deckert LLC1st Global Capital Corp.05-02-2019
James A. FranklinCetera Advisor Networks LLC1st Global Capital Corp.$1002-08-2019
Mariette Denise Luchini-JacobsonHD Vest Investment Services1st Global Capital Corp.12-12-2018
Cynthia Elizabeth SheltonSecurities America, Inc.1st Global Capital Corp.$2512-05-2018
Julie Ann FlynnRoyal Alliance Associates, Inc.1st Global Capital Corp.08-20-2018
Mary Lauren SantiniUnited Capital Financial Advisers1st Global Capital Corp.08-20-2018
Kelon Carter HallLPL Financial LLC1st Global Capital Corp.07-31-2018
Keith Edward StingleyHD Vest Investment Services1st Global Capital Corp.04-04-2018
Gene Alvin BrehmSaxony Securities, Inc.1st Global Capital Corp.$2502-05-2018
Michael Bruce DigiacintoWorth Financial Group Inc.1st Global Capital Corp.01-02-2018
Fredric James FolinoHD Vest Investment Services1st Global Capital Corp.12-04-2017
Robert Wayne HamptonImpart Financial, LLC1st Global Capital Corp.01-23-2017
Marvin Wayne FarrarThe O.N. Equity Sales Company1st Global Capital Corp.01-17-2017
Wesley Allen RolandRoyal Alliance Associates, Inc.1st Global Capital Corp.$5001-19-2016
Dennis Keith LongLPL Financial LLC1st Global Capital Corp.02-17-2015
Jerry Ray HillLPL Financial LLC1st Global Capital Corp.02-17-2015
James Richard KlodoskySecurities America, Inc.1st Global Capital Corp.$2511-24-2014
Cody Laura SiebertSecurities America, Inc.1st Global Capital Corp.$1011-24-2014
Ronald Lee BriggsSecurities America, Inc.1st Global Capital Corp.11-24-2014
Sarah Laine SmitheyRoyal Alliance Associates, Inc.1st Global Capital Corp.$1003-05-2013
Jeffrey Normand MassicottHD Vest Investment Services1st Global Capital Corp.01-04-2013
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Showing 1 to 25 of 6,888 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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