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
Barbara Ann SeitzSecurities America, Inc.Next Financial Group, Inc.08-30-2019
David Wayne MatthewsSecurities America, Inc.Cetera Advisors LLC08-29-2019
James A. White Sr.Securities America, Inc.First Allied Securities, Inc.05-24-2019
Cynthia Elizabeth SheltonSecurities America, Inc.1st Global Capital Corp.$2512-05-2018
Russell B. SheidSecurities America, Inc.SWBC Investment Services, LLC08-03-2018
Daniel John WoodardSecurities America, Inc.LPL Financial LLC$10005-18-2018
Barry C. RoseSecurities America, Inc.LPL Financial LLC$1005-18-2018
Jason Henry GattsSecurities America, Inc.360 Wealth Management, LLC$3901-25-2018
Brian Mark FruendtSecurities America, Inc.National Planning Corporation$2511-02-2017
Joseph Dylan ThompsonSecurities America, Inc.INVEST Financial Corporation11-02-2017
Lonny Lee WintersSecurities America, Inc.INVEST Financial Corporation11-02-2017
Julia A. GalbraithSecurities America, Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated09-25-2017
Richard Coolidge FordSecurities America, Inc.WFG Investments, Inc.$1009-01-2017
Stephen Edward WalkerSecurities America, Inc.WFG Investments, Inc.08-22-2017
Gilbert Adan CortezSecurities America, Inc.Cetera Advisors LLC03-03-2017
Phillip Jason ChapmanSecurities America, Inc.Berthel, Fisher & Company Financial Services, Inc.$1510-10-2016
Jeff Michael MinucciSecurities America, Inc.Fidelity Brokerage Services LLC08-31-2016
Dale Ray HawthorneSecurities America, Inc.Questar Capital Corporation07-22-2016
Cynthia Gayle BarnettSecurities America, Inc.Questar Capital Corporation07-20-2016
Paul David KlementSecurities America, Inc.Edward Jones04-22-2016
William Gregg HoffmanSecurities America, Inc.AXA Advisors, LLC02-15-2016
Freeman Buckner Irby IIISecurities America, Inc.MML Investors Services, LLC11-06-2015
Tom Verne Dwyer IISecurities America, Inc.LPL Financial LLC$10007-10-2015
Marcos Andujar, Kristopher Beaulieu, Neil Van ZandtSecurities America, Inc.WFG Investments$12004-27-2015
Neil Lycurgus VanzandtSecurities America, Inc.WFG Investments, Inc.04-27-2015
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Showing 1 to 25 of 46 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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