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
Arthur Daniel Chambers IISunTrust Investment Services, Inc.Securities America, Inc.$10009-15-2015
Ashley W OwensInfinex Investments, Inc.Securities America, Inc.10-25-2017
David Scott CochranKestra Investment Services, LLCSecurities America, Inc.$25001-15-2014
Gloria Nydam GoodeCambridge Investment Research, Inc.Securities America, Inc.$50003-18-2019
Harold Lloyd Lewis Jr.Voya Financial Advisors, Inc.Securities America, Inc.12-16-2016
Jason DodzikNext Financial Group, Inc.Securities America, Inc.$50009-02-2011
John Bernard BairdCambridge Investment Research, Inc.Securities America, Inc.12-16-2013
John Rodney JohnsonLPL Financial LLCSecurities America, Inc.$10006-29-2018
Luther A Bazzle IIIINVEST Financial CorporationSecurities America, Inc.07-28-2017
Marvin Lee FaisonNext Financial Group, Inc.Securities America, Inc.06-05-2013
Michael David ErbaioSpire Securities, LLCSecurities America, Inc.01-24-2018
Michael Robert FinnieJ.W. Cole Financial, Inc.Securities America, Inc.07-26-2018
Paul Lawrence NewtonCentaurus Financial, Inc.Securities America, Inc.$15002-05-2019
Philip Edward FritzLPL Financial LLCSecurities America, Inc.06-29-2018
Richard Durant AdamsLPL Financial LLCSecurities America, Inc.03-23-2017
Richard Todd HoldenCUSO Financial Services, L.P.Securities America, Inc.05-02-2016
Robert Edward ShannonLPL Financial LLCSecurities America, Inc.06-14-2018
Ronald Joseph CarazoSpire Securities, LLCSecurities America, Inc.$50011-27-2017
Sean C. GillespieRedeployment Wealth Strategies LLCSecurities America, Inc.08-14-2018
Shelley Romaine KingRaymond James Financial Services, Inc.Securities America, Inc.$50008-31-2017
Starr Robinson JohnsonLPL Financial LLCSecurities America, Inc.$50006-29-2018
Thomas H. CarlsonVALIC Financial AdvisorsSecurities America, Inc.$8107-28-2014
Tracey Douglas FrankSpire Securities, LLCSecurities America, Inc.$25010-02-2009
Walter Otis Laughlin Jr.Avantax Investment Services, Inc.Securities America, Inc.09-23-2015
William Henry ShelorTrustmont Financial Group, Inc.Securities America, Inc.11-04-2013
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Showing 1 to 25 of 27 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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