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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Adviser(s) Firm joining Firm leaving AUM ($M) Date
Benjamin Aneurin Huggin Jr.PNC InvestmentsPruco Securities, LLC.$10011-06-2017
Jane Junzhu MaoConcord Wealth Brokerage, Inc.H. Beck, Inc.11-06-2017
James Pender, Craig SabloskyLPL Financial LLCInvestment Professionals$6711-03-2017
Rebecca Shea NewtonConcord Wealth Brokerage, Inc.H. Beck, Inc.$12011-03-2017
David B. MarguliesLara, May & Associates, LLCMorgan Stanley11-02-2017
Richard Robert Krafcik Jr.Independent Financial Group, LLCNational Planning Corporation11-02-2017
Alan Steven Witt Jr.LPL Financial LLCWells Fargo Clearing Services, LLC11-02-2017
Craig Curtis AldenBrooklight Place Securities, Inc.GWN Securities Inc.11-01-2017
Bruce Eugene McCookInfinex Investments, Inc.LPL Financial LLC$2510-31-2017
Paul Maloy KellyIndependent Financial Group, LLCNational Planning Corporation$2510-31-2017
Erica R. LuckeIndependent Financial Group, LLCNational Planning Corporation10-31-2017
Christopher Wayne GearyIndependent Financial Group, LLCNational Planning Corporation10-31-2017
Patricia W. JamesWells Fargo Clearing Services, LLCEdward Jones10-31-2017
Nicholas Greggory CaramanicaArlington Wealth Planning, LLCIntegrated Financial Planning Services10-27-2017
David Richard CarlsonSecurities America, Inc.National Planning Corporation$1310-26-2017
Steven Scott MartinDavenport & Company LLCWells Fargo Clearing Services, LLC$10010-25-2017
Rebecca Ann RobertsonDavenport & Company LLCWells Fargo Clearing Services, LLC$2510-25-2017
William John HoranDavenport & Company LLCWells Fargo Clearing Services, LLC10-25-2017
Thomas Ray Gee Jr.Davenport & Company LLCWells Fargo Clearing Services, LLC10-25-2017
Michael John KurkaMoors & Cabot, Inc.Morgan Stanley$25410-20-2017
Chris Alan RobertsSpire Securities, LLCEdward Jones10-19-2017
William Earl McLain Jr.SunTrust Investment Services, Inc.Wells Fargo Clearing Services, LLC10-18-2017
Ame M. McCullinSunTrust Investment Services, Inc.Wells Fargo Clearing Services, LLC10-18-2017
Steven James HoltFirst Citizens Investor Services, Inc.AXA Advisors, LLC$50010-17-2017
Tim Xuan HaCetera Advisor Networks LLCInvestment Centers of America, Inc.10-17-2017
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Showing 426 to 450 of 2,095 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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