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
Dean Edward ElliottCommonwealth Financial NetworkLPL Financial LLC$2502-17-2009
Rex Warren RichardsCommonwealth Financial NetworkLPL Financial LLC$1002-17-2009
Larissa Anna PoindexterOppenheimer & Co. Inc.LPL Financial LLC$5004-16-2009
Andrew Scott ButlerNext Financial Group, Inc.LPL Financial LLC04-24-2009
Anthony Scatuorchio FerraraHD Vest Investment ServicesLPL Financial LLC05-01-2009
Woot Alfred Dougherty IIIDougherty Wealth ManagementLPL Financial LLC05-26-2009
Scott Jeffrey FisherHD Vest Investment ServicesLPL Financial LLC05-26-2009
Ann Elizabeth KriegerMorgan StanleyLPL Financial LLC$2507-20-2009
Sharon Beth DuncanCommonwealth Financial NetworkLPL Financial LLC07-31-2009
John Howard HaynesH. Beck, Inc.LPL Financial LLC01-04-2010
Steven Joel SchwartzTFO-TDC, LLCLPL Financial LLC01-19-2010
Russell Jay MillerTFO-TDC, LLCLPL Financial LLC03-23-2010
Jeffrey Arnold McCrackenMML Investors Services, LLCLPL Financial LLC06-21-2010
Don C. Smith Jr.PlanMember Securities CorporationLPL Financial LLC07-01-2010
Malcolm Louis EphersonHilltop Securities Independent Network Inc.LPL Financial LLC07-06-2010
James Patrick RobertsonSagePoint Financial, Inc.LPL Financial LLC$10008-12-2010
Eric John BateyBerthel, Fisher & Company Financial Services, Inc.LPL Financial LLC$5009-01-2010
Frank Leslie Holmes Jr.Sigma Financial CorporationLPL Financial LLC09-17-2010
Michael E. RogalaMerrill Lynch, Pierce, Fenner & Smith IncorporatedLPL Financial LLC12-13-2010
James Michael McKeeverWest Fork Capital Management, LLCLPL Financial LLC03-28-2011
Priscilla Ann McKinleyPurshe Kaplan Sterling InvestmentsLPL Financial LLC$1007-01-2011
Philip Larue OrwigRaymond James Financial Services, Inc.LPL Financial LLC08-18-2011
Thomas Edward GardnerMerrill Lynch, Pierce, Fenner & Smith IncorporatedLPL Financial LLC08-26-2011
Jack Douglas JonesWest Fork Capital Management, LLCLPL Financial LLC09-07-2011
William David SprinkleHD Vest Investment ServicesLPL Financial LLC09-30-2011
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Showing 1 to 25 of 144 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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