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
Frank William Marra IIIMML Investors Services, LLCOneAmerica Securities, Inc.$10007-25-2018
Adam David SchwartzMML Investors Services, LLCNYLIFE Securities LLC06-12-2019
Daniel Robert MatzMML Investors Services, LLCNYLIFE Securities LLC03-26-2019
Maria Patricia ClarkMML Investors Services, LLCNYLIFE Securities LLC02-14-2019
Frederick Bishop SteubingMML Investors Services, LLCNYLIFE Securities LLC01-08-2019
Francisco G. Orozco-CanalesMML Investors Services, LLCNYLIFE Securities LLC11-12-2018
Matthew S. WintersMML Investors Services, LLCNorthwestern Mutual Investment Services, LLC02-06-2019
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
Nicholas Brett GormanMML Investors Services, LLCFarmers Financial Solutions, LLC10-16-2018
Gregory Charles FalzoneMML Investors Services, LLCEncompass Advisory Services, LLC08-28-2018
Andrew Byron WallaceMML Investors Services, LLCEdward Jones04-01-2019
Mark Kevin QuarlesMML Investors Services, LLCAmeritas Investment Corp.08-03-2018
David Lloyd BrundageMML Investors Services, LLCAmeriprise Financial Services, Inc.$50009-07-2018

Showing 1 to 14 of 14 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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