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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Latest moves

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Adviser(s) Firm joining Firm leaving AUM ($M) Date
Aaron Chin-Yuan ChaoCharles Schwab & Co., Inc.Northwestern Mutual Investment Services, LLC03-15-2018
Adrienne Elizabeth UpchurchMML Investors Services, LLCNorthwestern Mutual Investment Services, LLC02-11-2013
Alex Lorin GelbFidelity Brokerage Services LLCNorthwestern Mutual Investment Services, LLC02-11-2016
Alex M TaylorRaymond James Financial Services, Inc.Northwestern Mutual Investment Services, LLC03-03-2020
Andrew Armando Di FerdinandoFisher InvestmentsNorthwestern Mutual Investment Services, LLC12-20-2017
Andrew E GoughMerrill Lynch, Pierce, Fenner & Smith IncorporatedNorthwestern Mutual Investment Services, LLC07-27-2012
Ashley N HendersonLPL Financial LLCNorthwestern Mutual Investment Services, LLC02-03-2020
Brandon Austin ClelandTD Ameritrade Investment Management, LLCNorthwestern Mutual Investment Services, LLC09-24-2014
Chris Allen MessickRaymond James Financial Services, Inc.Northwestern Mutual Investment Services, LLC$16803-03-2020
Christopher John GuptillFidelity Brokerage Services LLCNorthwestern Mutual Investment Services, LLC01-30-2020
Christopher Keith MaloneyMerrill Lynch, Pierce, Fenner & Smith IncorporatedNorthwestern Mutual Investment Services, LLC12-13-2016
Daniel CarrollMML Investors Services, LLCNorthwestern Mutual Investment Services, LLC01-10-2020
David Russell FaulknerSpectrum Advisors, Inc.Northwestern Mutual Investment Services, LLC03-02-2016
David Thomas PeacockRaymond James Financial Services, Inc.Northwestern Mutual Investment Services, LLC$25003-03-2020
Dennis Raymond DobsonNYLIFE Securities LLCNorthwestern Mutual Investment Services, LLC05-11-2018
Edmund Alexander RostranFidelity Brokerage Services LLCNorthwestern Mutual Investment Services, LLC03-03-2015
Erik David HoltSagePoint Financial, Inc.Northwestern Mutual Investment Services, LLC07-21-2017
Gabriel Tye PelphreyLion Street Financial, LLCNorthwestern Mutual Investment Services, LLC09-12-2018
Georgia Martin AdamsAllstate Financial Services, LLCNorthwestern Mutual Investment Services, LLC11-26-2019
Hunter Alan WoodyWells Fargo Clearing Services, LLCNorthwestern Mutual Investment Services, LLC11-30-2017
Hunter Wayne HargravesWells Fargo Clearing Services, LLCNorthwestern Mutual Investment Services, LLC07-26-2018
Jake Dillon FortenberryJ.P. Morgan Securities LLCNorthwestern Mutual Investment Services, LLC08-08-2019
James Paul CurryMML Investors Services, LLCNorthwestern Mutual Investment Services, LLC09-18-2017
Jay Thomas LancasterMML Investors Services, LLCNorthwestern Mutual Investment Services, LLC06-01-2018
Joseph Edward Johnston IIIIntegrated Wealth Concepts LLCNorthwestern Mutual Investment Services, LLC07-02-2020
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Showing 1 to 25 of 63 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.