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
Amy Elizabeth KempLPL Financial LLCDorsey, Wright & Associates, LLC$15005-09-2018
Todd Allan McCrayLPL Financial LLCINVEST Financial Corporation$5002-14-2018
James Anthony Pavik Sr.LPL Financial LLCINVEST Financial Corporation$2302-14-2018
Gary Lynn StoneLPL Financial LLCINVEST Financial Corporation$1002-14-2018
David Lee LamieLPL Financial LLCINVEST Financial Corporation02-14-2018
Kyle Joon KimLPL Financial LLCINVEST Financial Corporation02-14-2018
Warner Walter WilliamsLPL Financial LLCINVEST Financial Corporation02-14-2018
Catherine Shaner CarlockLPL Financial LLCThe Main Street Group01-31-2018
Eric Oscar WolfLPL Financial LLCCharles Schwab & Co., Inc.01-10-2018
Timothy ThompsonLPL Financial LLCH. Beck, Inc.$8412-21-2017
Timothy James ThompsonLPL Financial LLCH. Beck, Inc.12-21-2017
Nicole Ann VicencioLPL Financial LLCMorgan Stanley12-21-2017
Henry Victor Millner IIILPL Financial LLCNorthwestern Mutual Investment Services, LLC12-18-2017
Kevin A. MautteLPL Financial LLCAmeriprise Financial Services, Inc.12-12-2017
Rf Burke Steele IIILPL Financial LLCInvestment Centers of America, Inc.$10011-29-2017
Julie Christine BoyerLPL Financial LLCNational Planning Corporation11-29-2017
Leverette Early Pope Jr.LPL Financial LLCInvestment Centers of America, Inc.11-29-2017
R.F. Burke Steele IVLPL Financial LLCInvestment Centers of America, Inc.11-29-2017
Robert Booker SteeleLPL Financial LLCInvestment Centers of America, Inc.11-29-2017
Douglas Edward JonesLPL Financial LLCMML Investors Services, LLC11-17-2017
Alan Torrence DawkinsLPL Financial LLCLincoln Financial Securities Corporation$1011-13-2017
James Pender, Craig SabloskyLPL Financial LLCInvestment Professionals$6711-03-2017
Alan Steven Witt Jr.LPL Financial LLCWells Fargo Clearing Services, LLC11-02-2017
Joseph William Omalley IVLPL Financial LLCMutual of Omaha Investor Services, Inc.10-16-2017
Robert Alan WellsLPL Financial LLCVALIC Financial Advisors, Inc.06-07-2017
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Showing 26 to 50 of 177 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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