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
Patricia Bisch GreenBOK Financial Securities, Inc.Cetera Investment Services LLC$10001-05-2009
Eric Lawrence PhelpsInvestment Professionals, Inc.Cetera Investment Services LLC$25010-16-2009
Jeffrey Philip Murry1st Global Capital Corp.Cetera Investment Services LLC03-31-2010
John Allen SeamanWoodbury Financial Services, Inc.Cetera Investment Services LLC$50004-06-2010
Ashley W. CaudleBBVA Compass Investment Solutions, Inc.Cetera Investment Services LLC$10002-11-2011
Jon Bradley BurnettLPL Financial LLCCetera Investment Services LLC$25002-21-2012
Samantha Lynn CoxLPL Financial LLCCetera Investment Services LLC02-21-2012
Deborah Ann BarnesInvestment Professionals, Inc.Cetera Investment Services LLC$50002-27-2012
David James LayoInvestment Professionals, Inc.Cetera Investment Services LLC$50003-29-2012
Wesley Don RamseyNorthern Trust Securities, Inc.Cetera Investment Services LLC$15005-15-2012
Jason Thomas BubonicRaymond James Financial Services, Inc.Cetera Investment Services LLC06-01-2012
Dulce G. BroussardJ.P. Morgan Securities LLCCetera Investment Services LLC12-04-2012
Kevin Jacob GoldsteinInvestment Professionals, Inc.Cetera Investment Services LLC$10003-11-2013
Jose Alvaro Reyes IIIWells Fargo Clearing Services, LLC (Formerly Wells Fargo Advisors, LLC)Cetera Investment Services LLC$50008-12-2013
Sandra Kay MorkovskyLPL Financial LLCCetera Investment Services LLC$10008-30-2013
Mary Cajator AbundoKestra Investment Services, LLCCetera Investment Services LLC02-04-2014
Christina Tijerina FallinInvestment Professionals, Inc.Cetera Investment Services LLC$50002-28-2014
Keith Lee SmithM. E. Allison & Co., Inc.Cetera Investment Services LLC04-16-2014
Donna Lynne TylerFrost Brokerage Services, Inc.Cetera Investment Services LLC09-02-2014
William Douglas Hicks Jr.Ameriprise Financial Services, Inc.Cetera Investment Services LLC$10012-05-2014
James Preston SmithInvestment Professionals, Inc.Cetera Investment Services LLC$15001-12-2015
Shelby Steven LabordeBBVA Securities Inc.Cetera Investment Services LLC$50002-26-2015
Jennifer Lucille CooperCommonwealth Financial NetworkCetera Investment Services LLC$10003-20-2015
Sohrab Abbas ZarasvandMerrill Lynch, Pierce, Fenner & Smith IncorporatedCetera Investment Services LLC04-14-2015
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Showing 1 to 25 of 77 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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