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.

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Adviser(s) Firm joining Firm leaving AUM ($M) Date
Stephen Ray FosterRoyal Alliance Associates, Inc.Woodbury Financial Services, Inc.10-30-2009
William Craig SplawnRoyal Alliance Associates, Inc.Woodbury Financial Services, Inc.11-30-2009
Ted Maitland LukemanRoyal Alliance Associates, Inc.Cetera Advisor Networks LLC$1005-09-2011
Sarah Laine SmitheyRoyal Alliance Associates, Inc.1st Global Capital Corp.$1003-05-2013
Jacqueline Pearl BennettRoyal Alliance Associates, Inc.The Leaders Group, Inc.06-30-2015
Katherine Bartlett KennedyRoyal Alliance Associates, Inc.First Independent Financial Services, Inc.11-05-2015
Richard Ray SwarbRoyal Alliance Associates, Inc.First Independent Financial Services, Inc.11-06-2015
Stephen Joseph BonczekRoyal Alliance Associates, Inc.First Independent Financial Services, Inc.11-06-2015
Charles Michael White Jr.Royal Alliance Associates, Inc.First Independent Financial Services, Inc.11-12-2015
Shirley Reed White-StevensRoyal Alliance Associates, Inc.First Independent Financial Services, Inc.11-20-2015
Michael Shawn DanterRoyal Alliance Associates, Inc.First Independent Financial Services, Inc.11-23-2015
George Michael LooneyRoyal Alliance Associates, Inc.First Independent Financial Services, Inc.11-30-2015
Wesley Allen RolandRoyal Alliance Associates, Inc.1st Global Capital Corp.$5001-19-2016
Scott Charles FanaticoRoyal Alliance Associates, Inc.SEI Investments Distribution Co.05-02-2016
John Alan LevineRoyal Alliance Associates, Inc.H. Beck, Inc.12-01-2016
Jeremiah PizanaRoyal Alliance Associates, Inc.Cetera Financial Specialists LLC07-06-2017
John Jerome JablonskiRoyal Alliance Associates, Inc.FSC Securities Corporation08-15-2017
Christopher John HernandezRoyal Alliance Associates, Inc.National Planning Corporation$5010-16-2017
Alex B. PinaRoyal Alliance Associates, Inc.National Planning Corporation$1310-16-2017
Richard Todd ThweattRoyal Alliance Associates, Inc.National Planning Corporation10-16-2017
Robert E. SchobelRoyal Alliance Associates, Inc.National Planning Corporation10-19-2017
Antonio BuentelloRoyal Alliance Associates, Inc.McNally Financial Services Corporation01-02-2018
Michael Albert VerhalenRoyal Alliance Associates, Inc.Woodbury Financial Services, Inc.$5003-14-2018
Julie Ann FlynnRoyal Alliance Associates, Inc.1st Global Capital Corp.08-20-2018
Donna Barrett ParkerRoyal Alliance Associates, Inc.Signator Investors, Inc.$21211-02-2018
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Showing 1 to 25 of 63 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 InvestmentNews.com and can not be resold, republished, redistributed, sublicensed, or copied for any other use without the permission of InvestmentNews LLC.

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