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
Edwin James Sondgroth Jr.Brighton Jones LLCD.A. Davidson & Co.09-18-2017
James Howard DockensU.S. Bancorp Investments, Inc.Fulcrum Capital, LLC09-18-2017
Charles Francis Taylor Jr.Merrill Lynch, Pierce, Fenner & Smith IncorporatedJ.P. Morgan Securities LLC09-15-2017
David Arthur PerryFarmers Financial Solutions, LLCState Farm VP Management Corp.09-15-2017
JOSHUA WARREN TSCHIRGIClient One Securities LLCSomerset Securities, Inc.09-15-2017
Deborah Jean DodsonPruco Securities, LLC.Waddell & Reed09-14-2017
Scott BowmanWells Fargo AdvisorsUBS Financial Services$7209-13-2017
Scott Gregory BowmanWells Fargo Clearing Services, LLCUBS Financial Services Inc.$5009-13-2017
Spencer Clarke HaagFisher InvestmentsForesters Financial Services, Inc.09-11-2017
Lisa Michelle Hunter-RobertsWells Fargo Clearing Services, LLCU.S. Bancorp Investments, Inc.09-08-2017
Ronald James BartonSowell Management ServicesWells Fargo Clearing Services, LLC09-05-2017
Thomas S MartinEK Riley Investments, LLCEdward Jones$109-05-2017
Craig Ball HuishWaterfront Financial Management LLCHD Vest Investment Services09-01-2017
Curtis James YoungRaymond James & Associates, Inc.Morgan Stanley$5009-01-2017
Melinda Beth HuishWaterfront Financial Management LLCHD Vest Investment Services09-01-2017
William John RomigJ.P. Morgan Securities LLCScottrade, Inc.08-28-2017
Eric Arthur JohnsonSeattle Wealth Management LLCCommonwealth Financial Network08-24-2017
Djajasaputra WidjajaUnionBanc Investment Services, LLCJ.P. Morgan Securities LLC08-23-2017
Henry Scott KruseStifel, Nicolaus & Company, IncorporatedOppenheimer & Co. Inc.$108-18-2017
James Carroll GaudetteStifel, Nicolaus & Company, IncorporatedOppenheimer & Co. Inc.$15308-18-2017
Sarah Leigh KeiblerCetera Advisor Networks LLCLPL Financial LLC08-18-2017
Henry Scott Kruse, Robert Schmidt, Jim GaudetteStifel Nicolaus & Co.Oppenheimer$34208-18-2017
Andrew Thomas PrenticePrentice Financial PlanningColumbia River Advisors08-17-2017
Christopher Scott TeofilakClear Wealth ManagementNorthwest Asset Management08-17-2017
Timothy Michael VedizMerrill Lynch, Pierce, Fenner & Smith IncorporatedD.A. Davidson & Co.$1,00008-17-2017
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Showing 326 to 350 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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