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

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Adviser(s) Firm joining Firm leaving AUM ($M) Date
Bruce Eugene MccookInfinex Investments, Inc.LPL Financial LLC$2510-31-2017
Christopher Wayne GearyIndependent Financial Group, LLCNational Planning Corporation10-31-2017
Erica R LuckeIndependent Financial Group, LLCNational Planning Corporation10-31-2017
Jacob Todd MorganMerrill Lynch, Pierce, Fenner & Smith IncorporatedAXA Advisors, LLC10-31-2017
Patricia Wright JamesWells Fargo Clearing Services, LLCEdward Jones$110-31-2017
Paul Maloy KellyIndependent Financial Group, LLCNational Planning Corporation$2510-31-2017
Nicholas Greggory CaramanicaArlington Wealth Planning, LLCIntegrated Financial Planning Services10-27-2017
William Franklin Smith Jr.The Strategic Financial Alliance, Inc.SPC10-27-2017
David Richard CarlsonSecurities America, Inc.National Planning Corporation$1310-26-2017
Ashley Webb OwensInfinex Investments, Inc.Securities America, Inc.10-25-2017
Rebecca Ann RobertsonDavenport & Company LLCWells Fargo Clearing Services, LLC$15010-25-2017
Steven Scott MartinDavenport & Company LLCWells Fargo Clearing Services, LLC$10010-25-2017
Thomas Ray Gee Jr.Davenport & Company LLCWells Fargo Clearing Services, LLC$15010-25-2017
William John HoranDavenport & Company LLCWells Fargo Clearing Services, LLC$1,00010-25-2017
Philip James CocceHSBC Securities (USA) Inc.Pruco Securities, LLC.10-24-2017
Richard William Maurer IIIMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley10-24-2017
Jason Michael GuloshEF Legacy Securities, LLCUSAA Financial Advisors, Inc.10-23-2017
Dante Reynaud JeffersonRaymond James Financial Services, Inc.EF Legacy Securities, LLC10-20-2017
Michael John KurkaMoors & Cabot, Inc.Morgan Stanley$1,00010-20-2017
Christopher Alan RobertsSpire Securities, LLCEdward Jones10-19-2017
Ame M. MccullinSunTrust Investment Services, Inc.Wells Fargo Clearing Services, LLC$110-18-2017
Mark Michael FryeSpire Securities, LLCWaddell & Reed10-18-2017
Santo Lawrence BlumkeSpire Securities, LLCFSC Securities Corporation10-18-2017
William Earl Mclain Jr.SunTrust Investment Services, Inc.Wells Fargo Clearing Services, LLC10-18-2017
Amanda Lyvette RobinsonCetera Advisor Networks LLCInvestment Centers of America, Inc.10-17-2017
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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.


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