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
Ara Jason KarianPrincipal Securities, Inc.United Planners' Financial Services of America A Limited Partner10-21-2009
Stephanie Elyse HaysPrincipal Securities, Inc.Lincoln Investment06-15-2011
Karen G. LuciusPrincipal Securities, Inc.Lincoln Investment08-02-2011
John William NoeyPrincipal Securities, Inc.Securian Financial Services, Inc.01-26-2012
Walter Aristides MaganaPrincipal Securities, Inc.VALIC Financial Advisors, Inc.10-26-2012
Craig Ellis ForsterPrincipal Securities, Inc.Edward Jones09-30-2013
David Winfield AndersonPrincipal Securities, Inc.MetLife Securities Inc.01-03-2014
Christopher Michael WintonPrincipal Securities, Inc.First Advisors National, LLC07-02-2015
Wayne E. RamseyPrincipal Securities, Inc.Park Avenue Securities LLC12-16-2015
Neal Wayne CloerPrincipal Securities, Inc.MetLife Securities Inc.08-23-2016
Jeff Oscar RuenPrincipal Securities, Inc.Park Avenue Securities LLC12-16-2016
Corey P. OwensPrincipal Securities, Inc.ADP Broker-Dealer, Inc.02-07-2019
Casey J. FryPrincipal Securities, Inc.Raymond James Financial Services, Inc.02-18-2019
David Ray SimsPrincipal Securities, Inc.Householder Group Estate & Retirement Specialists04-09-2019

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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