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
Bradley Gene WalkoviakAmeriprise Financial Services, Inc.NYLIFE Securities LLC08-19-2009
Monica De La CruzState Farm VP Management Corp.NYLIFE Securities LLC04-23-2010
Bernard K. DukeHD Vest Investment ServicesNYLIFE Securities LLC08-04-2010
Ali Abbas NasserValMark Securities, Inc.NYLIFE Securities LLC$1008-18-2010
Grover Edward StultsHD Vest Investment ServicesNYLIFE Securities LLC09-28-2010
Jeffrey Lee O'RandCetera Advisors LLCNYLIFE Securities LLC11-01-2010
Lalit JallanMML Investors Services, LLCNYLIFE Securities LLC$2506-02-2011
Christopher M. JonesMorgan StanleyNYLIFE Securities LLC08-05-2011
Natalie Brown ChandlerRetirement Planners of AmericaNYLIFE Securities LLC01-30-2012
James Scott TaylorRetirement Planners of AmericaNYLIFE Securities LLC07-24-2012
John Jeffrey FreundSWBC Investment Services, LLCNYLIFE Securities LLC09-17-2012
Jonathan Lee PollardAllstate Financial Services, LLCNYLIFE Securities LLC01-07-2013
Lawrence Robert SpringerLincoln Financial Advisors CorporationNYLIFE Securities LLC$1001-09-2013
Jerome Antony GarciaAllstate Financial Services, LLCNYLIFE Securities LLC03-25-2013
Sean Michael GourleyWells Fargo Clearing Services, LLCNYLIFE Securities LLC04-03-2014
Monica BalderramaAllstate Financial Services, LLCNYLIFE Securities LLC04-10-2014
Nancy Paige GarrisonPark Avenue Securities LLCNYLIFE Securities LLC$1001-23-2015
Michael E. WeinerMML Investors Services, LLCNYLIFE Securities LLC04-08-2015
John Miguel JettMML Investors Services, LLCNYLIFE Securities LLC$5005-11-2015
Homer Orlando Ramirez Jr.J.P. Morgan Securities LLCNYLIFE Securities LLC06-25-2015
Tristen O. CleveSagePoint Financial, Inc.NYLIFE Securities LLC08-03-2015
Devanand Doobay GaymesAllstate Financial Services, LLCNYLIFE Securities LLC08-06-2015
Matthew Douglas DiteresaPark Avenue Securities LLCNYLIFE Securities LLC08-25-2015
Patrick Thomas KlozikLion Street Financial, LLCNYLIFE Securities LLC08-27-2015
Michael David AppleMorgan StanleyNYLIFE Securities LLC12-16-2015
Next Page »

Showing 1 to 25 of 54 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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