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
Ann Marie BoxRoyal Alliance Associates, Inc.Securities America, Inc.$2512-23-2019
Zachary Curtis ArringtonRoyal Alliance Associates, Inc.Edward Jones10-15-2019
Michael Gene SatterwhiteRoyal Alliance Associates, Inc.LPL Financial LLC08-16-2019
Gregory Mason CunninghamRoyal Alliance Associates, Inc.LPL Financial LLC07-19-2019
Laurin Dale WainwrightRoyal Alliance Associates, Inc.Farmers Financial Solutions, LLC$10007-09-2019
Jonathan D. MathewsRoyal Alliance Associates, Inc.Northwestern Mutual Investment Services, LLC06-21-2019
Joseph E KeelsRoyal Alliance Associates, Inc.Morgan Stanley04-02-2019
Scott Harper YarbroughRoyal Alliance Associates, Inc.Foresters Equity Services, Inc.01-25-2019
Julie Ann FlynnRoyal Alliance Associates, Inc.1st Global Capital Corp.08-20-2018
Antonio BuentelloRoyal Alliance Associates, Inc.McNally Financial Services Corporation$25001-02-2018
Joe Rowland Basham Jr.Royal Alliance Associates, Inc.Parkland Securities, LLC$30010-24-2017
Kelly Ann HamletRoyal Alliance Associates, Inc.Morgan Stanley10-20-2017
Robert E. SchobelRoyal Alliance Associates, Inc.National Planning Corporation$10010-19-2017
Alex B. PinaRoyal Alliance Associates, Inc.National Planning Corporation$13010-16-2017
Mark Douglas CaldwellRoyal Alliance Associates, Inc.National Planning Corporation$50010-16-2017
Christopher John HernandezRoyal Alliance Associates, Inc.National Planning Corporation$50010-16-2017
Richard Todd ThweattRoyal Alliance Associates, Inc.National Planning Corporation10-16-2017
Keith Douglas HuffRoyal Alliance Associates, Inc.National Planning Corporation$50009-26-2017
Jeremiah PizanaRoyal Alliance Associates, Inc.Cetera Financial Specialists LLC07-06-2017
John Alan LevineRoyal Alliance Associates, Inc.H. Beck, Inc.12-01-2016
Scott Charles FanaticoRoyal Alliance Associates, Inc.SEI Investments Distribution Co.05-02-2016
Herbert Gerry WiebeRoyal Alliance Associates, Inc.NYLIFE Securities LLC02-05-2016
Wesley Allen RolandRoyal Alliance Associates, Inc.1st Global Capital Corp.$50001-19-2016
George Michael LooneyRoyal Alliance Associates, Inc.First Independent Financial Services, Inc.$25011-30-2015
Kay Louise BankerRoyal Alliance Associates, Inc.First Independent Financial Services, Inc.$19011-24-2015
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Showing 1 to 25 of 36 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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