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
Ernest De La Rosa Jr.MML Investors Services, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated10-05-2018
Steven James HarrisMML Investors Services, LLCInvesco Distributors, Inc.09-20-2018
David Lloyd BrundageMML Investors Services, LLCAmeriprise Financial Services, Inc.09-07-2018
Mark Kevin QuarlesMML Investors Services, LLCAmeritas Investment Corp.08-03-2018
Frank William Marra IIIMML Investors Services, LLCOneAmerica Securities, Inc.$1007-25-2018
Ross David FriendMML Investors Services, LLCSagePoint Financial, Inc.$5007-18-2018
Alma Ivelisse AlvaradoMML Investors Services, LLCOneAmerica Securities, Inc.07-12-2018
Jonathan Jordan LyphoutMML Investors Services, LLCMWA Financial Services Inc.05-15-2018
William Reginald Mcdowra Jr.MML Investors Services, LLCPark Avenue Securities LLC04-10-2018
Shey Thomas StegallMML Investors Services, LLCMWA Financial Services Inc.$102-15-2018
Stephen Christopher TadlockMML Investors Services, LLCAmeriprise Financial Services, Inc.02-15-2018
Bryan David -Lee LysingerMML Investors Services, LLCNorthwestern Mutual Investment Services, LLC01-23-2018
Daisy Gissell PenaMML Investors Services, LLCNYLIFE Securities LLC10-18-2017
Marilyn Neill PangracMML Investors Services, LLCThrivent Investment Management Inc.09-27-2017
Taylor Steele WeaverMML Investors Services, LLCFidelity Brokerage Services LLC09-27-2017
James Paul CurryMML Investors Services, LLCNorthwestern Mutual Investment Services, LLC09-18-2017
Lester Ariel ReyesMML Investors Services, LLCNYLIFE Securities LLC08-10-2017
Querube MontoyaMML Investors Services, LLCCharles Schwab & Co., Inc.06-16-2017
Mayte Calvetti GallardoMML Investors Services, LLCMoney Concepts Capital Corp05-23-2017
Hugo HernandezMML Investors Services, LLCNYLIFE Securities LLC05-09-2017
H. Andrea KimMML Investors Services, LLCFarmers Financial Solutions, LLC$1003-23-2017
Jeffrey Scot LuftigMML Investors Services, LLCPark Avenue Securities LLC01-13-2017
Cody Austin SuttonMML Investors Services, LLCKestra Investment Services, LLC01-03-2017
Matthew Ronald WilliamsMML Investors Services, LLCAXA Advisors, LLC12-06-2016
David Gene MorrisMML Investors Services, LLCPark Avenue Securities LLC10-21-2016
Next Page »

Showing 1 to 25 of 106 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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