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
Kevin John WilliamsGennaker Capital LLCGoldbloom Wealth Management LLC10-24-2018
Steven Walter JuulSecurities America, Inc.CUSO Financial Services, L.P.$110-24-2018
Caroline AlabachRaymond JamesEdward Jones$26510-22-2018
Caroline Helen AlabachRaymond James Financial Services, Inc.Edward Jones$110-22-2018
Scott Patrick HurstLPL Financial LLCSecurities America, Inc.$2510-22-2018
Nathan Robert WaltersLPL Financial LLCPrincipal Securities, Inc.10-18-2018
Jonathan Palmer and Alexander MooreRaymond JamesWells Fargo Advisors$14510-12-2018
Alexander Jackson MooreRaymond James & Associates, Inc.Wells Fargo Clearing Services, LLC$1,00010-12-2018
Jonathan Jordan PalmerRaymond James & Associates, Inc.Wells Fargo Clearing Services, LLC$1,00010-12-2018
Dustin Michael AllberyNorthwest Planning Advisors LLCAmerican Reliance Group10-02-2018
Karl Wongchan WarnerKey Investment Services LLCNYLIFE Securities LLC10-01-2018
Russell Glenn GochneaurCUSO Financial Services, L.P.AXA Advisors, LLC$5009-28-2018
Michael FoodyRBC Wealth ManagementWells Fargo Advisors$12009-26-2018
Michael Joseph FoodyRBC Capital Markets, LLCWells Fargo Clearing Services, LLC09-26-2018
Jody Lynn LentzEquity Services, Inc.MML Investors Services, LLC09-25-2018
Rory John OsullivanRaymond James Financial Services, Inc.Wells Fargo Funds Distributor, LLC09-25-2018
Ashley Marie RomeroKey Investment Services LLCWells Fargo Clearing Services, LLC09-24-2018
Nisha Saurin ShahU.S. Bancorp Investments, Inc.J.P. Morgan Securities LLC09-20-2018
John Richard ArnoldVoya Financial Advisors, Inc.LPL Financial LLC$109-18-2018
Sarah Jean McgowanVALIC Financial Advisors, Inc.First Command Financial Planning, Inc.09-17-2018
Phillip MultopLPL FinancialCetera$30009-17-2018
Sean Randal GeorgeElderrock Financial LLCBerknell Financial Group, LLC09-12-2018
John Gregory HolmesCetera Investment Services LLCHornor, Townsend & Kent, LLC09-11-2018
Kevin Lyle Daniel Jr.Oppenheimer & Co. Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$5009-11-2018
David Michael RothSecurities America, Inc.Geneos Wealth Management, Inc.$109-10-2018
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Showing 101 to 125 of 2,573 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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