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
Charles Gary AubertinIndependent Financial Group, LLCUnited Planners' Financial Services of America A Limited Partner01-31-2018
Edwin Joseph KleinKestra Investment Services, LLCD.A. Davidson & Co.$15001-31-2018
Julia Theresa CosseRaymond James & Associates, Inc.Cosse' International Securities, Inc.01-31-2018
Deborah Jean DodsonAXA Advisors, LLCPruco Securities, LLC.$101-29-2018
Roseann Mary PinciottoPruco Securities, LLC.Waddell & Reed$101-24-2018
Alissa Ellen StearnsMerrill Lynch, Pierce, Fenner & Smith IncorporatedJ.P. Morgan Securities LLC01-23-2018
Garry Everett BordersRaymond James Financial Services, Inc.Securities America, Inc.$5001-22-2018
Saikou SannehKey Investment Services LLCJ.P. Morgan Securities LLC01-22-2018
Joel Courtney WhiteRaymond James Financial Services, Inc.Securities America, Inc.$5001-19-2018
Matthew Morrison BordersRaymond James Financial Services, Inc.Securities America, Inc.$5001-19-2018
Stephen M MarkelIndependent Financial Group, LLCFidelity Brokerage Services LLC01-16-2018
David Randal GouldPruco Securities, LLC.Sigma Financial Corporation01-12-2018
Amy Elizabeth FinkLPL Financial LLCMorgan Stanley$5001-11-2018
Abdulaziz Hisham DakhilFisher InvestmentsKey Investment Services LLC01-09-2018
Matthew John ScaranoUSA Financial Securities CorporationEdward Jones01-09-2018
Thomas Anthony Laudisi Jr.Fisher InvestmentsMerrill Lynch, Pierce, Fenner & Smith Incorporated01-09-2018
Christopher Dean FraizerProvident Living Advisors LLCHD Vest Investment Services01-05-2018
Lisa Anne HomerLPL Financial LLCWaddell & Reed01-05-2018
Michael Anthony LizonProvident Living Advisors LLCHD Vest Investment Services01-05-2018
Damon David GeorgeCambridge Investment Research, Inc.Independent Financial Group, LLC$101-04-2018
William Andrew Moon IID.A. Davidson & Co.Hart Capital Management, Inc.01-04-2018
Iris Gai XuPrincipal Securities, Inc.NYLIFE Securities LLC01-03-2018
George Robert LanePrivate OceanLakeview Financial Group LLC01-02-2018
Kurt Andrew RoddyKMS Financial Services, Inc.FSIC$25001-02-2018
Lisa Rene PetersPrivate OceanLakeview Financial Group LLC01-02-2018
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Showing 226 to 250 of 2,570 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.

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