Advisers on the Move TEST

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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Latest moves


Adviser(s) Firm joining Firm leaving AUM ($M) Date
Mark A. ComptonLPL Financial LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated01-02-2009
John Faulkner PaxtonLPL Financial LLCWells Fargo Clearing Services, LLC01-09-2009
Victoria C LyttleLPL Financial LLCMICG Investment Management, LLC01-09-2009
Lyle Kennedy SchiavoneLPL Financial LLCMICG Investment Management, LLC01-21-2009
Valerie Anne HornerLPL Financial LLCMICG Investment Management, LLC01-21-2009
Catherine Shaner CarlockLPL Financial LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$101-30-2009
Robert Frederick SandersLPL Financial LLCCitigroup Global Markets Inc.02-13-2009
Allen Dale BecknerLPL Financial LLCWells Fargo Clearing Services, LLC02-17-2009
Jayne Waida Di VincenzoLPL Financial LLCMICG Investment Management, LLC02-20-2009
Jonathan Douglas FreezeLPL Financial LLCLincoln Financial Advisors Corporation03-31-2009
Thomas Sidney Holland IIILPL Financial LLCWells Fargo Clearing Services, LLC$2504-15-2009
Robert Aron CroweLPL Financial LLCCitigroup Global Markets Inc.$1005-15-2009
Charles Donald FellingLPL Financial LLCUBS Financial Services Inc.$2505-21-2009
Jeanne Catherine BakerLPL Financial LLCWells Fargo Clearing Services, LLC05-22-2009
Pablo Ivan Alvarado Jr.LPL Financial LLCBanc of America Investment Services, Inc.05-22-2009
Gregory Thaddeus MooreLPL Financial LLCWells Fargo Clearing Services, LLC$2506-12-2009
William Leon FordLPL Financial LLCWells Fargo Clearing Services, LLC06-30-2009
Ian Thomas PrymakLPL Financial LLCPNC Investments$5007-23-2009
John LiLPL Financial LLCRBC Capital Markets, LLC$2509-17-2009
Donald Richard VaughtLPL Financial LLCEdward Jones09-29-2009
Alfred John Keyser Sr.LPL Financial LLCH&R Block Financial Advisors, Inc.10-08-2009
Douglas Clay Arthur Jr.LPL Financial LLCInfinex Investments, Inc.10-21-2009
Gordon LauLPL Financial LLCAmeriprise Financial Services, LLC10-26-2009
Song Chae ParkLPL Financial LLCCitigroup Global Markets Inc.$1011-12-2009
William Dennis Filer Jr.LPL Financial LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated12-03-2009
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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.