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


Adviser(s) Firm joining Firm leaving AUM ($M) Date
Stephen Charles RaoPurshe Kaplan Sterling InvestmentsAXA Advisors, LLC01-30-2020
Natalie Carol PichaPurshe Kaplan Sterling InvestmentsMerrill Lynch, Pierce, Fenner & Smith Incorporated06-14-2019
Tracy Shannon GriffinPurshe Kaplan Sterling InvestmentsMorgan Stanley05-17-2019
Fatina Mckenzie BenjaminPurshe Kaplan Sterling InvestmentsMorgan Stanley05-17-2019
Laura Kathleen HicksPurshe Kaplan Sterling InvestmentsMorgan Stanley05-17-2019
Kathleen An NguyenPurshe Kaplan Sterling InvestmentsAXA Advisors, LLC02-26-2019
Roger Vincent MeadorsPurshe Kaplan Sterling InvestmentsLPL Financial LLC11-02-2017
Jennifer Marie MoorePurshe Kaplan Sterling InvestmentsUBS Financial Services Inc.09-29-2016
Robert James Carlyon Jr.Purshe Kaplan Sterling InvestmentsMerrill Lynch, Pierce, Fenner & Smith Incorporated10-11-2013
Sheena BuschPurshe Kaplan Sterling InvestmentsMorgan Stanley$10009-27-2019
Stephen Robert JenkinsPurshe Kaplan Sterling InvestmentsNational Planning Corporation$10009-29-2017
Matthew James ShieldsPurshe Kaplan Sterling InvestmentsPruco Securities, LLC.$10006-16-2017
Henry TalamantesPurshe Kaplan Sterling InvestmentsMerrill Lynch, Pierce, Fenner & Smith Incorporated$10009-11-2013
Priscilla Ann McKinleyPurshe Kaplan Sterling InvestmentsLPL Financial LLC$10007-01-2011
Samuel Sean McGeePurshe Kaplan Sterling InvestmentsAvondale Wealth Management LLC$10003-26-2010
Paul Bundy ThompsonPurshe Kaplan Sterling InvestmentsDominion Investor Services, Inc.$10002-12-2010
Marcus Whitney MagersPurshe Kaplan Sterling InvestmentsVoya Financial Advisors, Inc.$15001-02-2009
Brent Lawhon ForrestPurshe Kaplan Sterling InvestmentsLPL Financial LLC$25007-01-2011
Glenn Richmond RoyalPurshe Kaplan Sterling InvestmentsMerrill Lynch, Pierce, Fenner & Smith Incorporated$50006-14-2019
Michele Alice JonesPurshe Kaplan Sterling InvestmentsMerrill Lynch, Pierce, Fenner & Smith Incorporated$50006-14-2019
William Darryl BuschPurshe Kaplan Sterling InvestmentsMorgan Stanley$50004-26-2019
Bertram Raymond FosterPurshe Kaplan Sterling InvestmentsPruco Securities, LLC.$50006-16-2017
John Aaron RamirezPurshe Kaplan Sterling InvestmentsB. Riley Wealth Management$50007-22-2011

Showing 1 to 23 of 23 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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