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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Adviser(s) Firm joining Firm leaving AUM ($M) Date
Carolyn Leticia Mora1st Global Capital Corp.HD Vest Investment Services$102-11-2019
Tawa N Torry1st Global Capital Corp.TIAA-CREF Individual & Institutional Services, LLC10-23-2017
Dylan Robert Greene1st Global Capital Corp.AXA Advisors, LLC04-21-2017
James A Franklin1st Global Capital Corp.Cetera Advisors LLC03-15-2017
Ward Wesley Molen1st Global Capital Corp.Cetera Advisors LLC03-15-2017
Luis A Avila1st Global Capital Corp.BBVA Securities Inc.$2501-07-2016
Brian Dale Trowbridge1st Global Capital Corp.Next Financial Group, Inc.12-02-2015
Martin Robert Durbin1st Global Capital Corp.LPL Financial LLC$1006-03-2015
Michael Otto Kurz1st Global Capital Corp.ALPS Distributors, Inc.03-20-2015
Melinda Denell Lemoine1st Global Capital Corp.VALIC Financial Advisors, Inc.09-04-2014
Janet D Simpson1st Global Capital Corp.Kestra Investment Services, LLC08-06-2014
Alison Elizabeth Painter1st Global Capital Corp.Rogan & Associates, Inc.$2501-07-2014
Laura Lea Witt1st Global Capital Corp.Capital One Investment Services LLC10-23-2013
Shilpi Mcgrath1st Global Capital Corp.Hilltop Securities Independent Network Inc.10-02-2013
Gregory Alan Deckert1st Global Capital Corp.Strategic Financial Planning, Inc.$2507-24-2013
Matthew James Anderson1st Global Capital Corp.Tuttle Wealth Management, LLC$106-03-2013
Erich James Zielonka1st Global Capital Corp.Waddell & Reed$2505-30-2013
Brittney Erin Kolesar1st Global Capital Corp.VFG Securities, Inc.05-14-2013
Russell James Pixler1st Global Capital Corp.Honkamp Krueger Financial Services Inc04-17-2013
Patrick Dean Dooley1st Global Capital Corp.ProEquities, Inc.04-16-2013
Amy Renee Mclean1st Global Capital Corp.Apex Clearing Corporation02-28-2013
Kuumba U Smith1st Global Capital Corp.HD Vest Investment Services$2512-03-2012
Francis Michael Celona1st Global Capital Corp.Ensemble Financial Services, Inc.06-20-2012
Moises Humberto Ospina1st Global Capital Corp.Chase Investment Services Corp.$20002-28-2012
John Jasper Lister1st Global Capital Corp.HD Vest Investment Services$109-01-2011
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Showing 1 to 25 of 9,209 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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