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
Rakesh Bira ChopraTD Ameritrade Investment Management, LLCCetera Investment Services LLC05-04-2018
Mark William BroughtonMerrill Lynch, Pierce, Fenner & Smith IncorporatedManning & Napier Investor Services, Inc.04-30-2018
Bradley Evans VonhofAmeriprise Financial Services, Inc.Waddell & Reed04-27-2018
Cory Edwin ShepherdSound Financial GroupPark Avenue Securities LLC04-27-2018
Kris Alan SchilperoortEdward JonesWaddell & Reed$2504-27-2018
Prashant PillalamarriMerrill Lynch, Pierce, Fenner & Smith IncorporatedJ.P. Morgan Securities LLC04-27-2018
Doug Dumais, Kirt Fredericks, Kathy HaleRBC Wealth ManagementWells Fargo Advisors$17504-26-2018
Douglas Mark DumaisRBC Capital Markets, LLCWells Fargo Clearing Services, LLC$1,00004-26-2018
Kathy Ann HaleRBC Capital Markets, LLCWells Fargo Clearing Services, LLC04-26-2018
Kirt Owen FredericksRBC Capital Markets, LLCWells Fargo Clearing Services, LLC$1,00004-26-2018
MARGARET KEANE KEOUGHLPL Financial LLCSnider Financial Group04-25-2018
Michael Patrick RaineriKMS Financial Services, Inc.Cetera Advisors LLC$104-24-2018
Duane Melvin WrightMerrill Lynch, Pierce, Fenner & Smith IncorporatedNYLIFE Securities LLC04-20-2018
James Headen Barnhart Jr.KMS Financial Services, Inc.Independent Financial Group, LLC04-20-2018
Israel Thomas JacobRaymond James Financial Services, Inc.LPL Financial LLC$10004-19-2018
Matthew Franken KokRaymond James Financial Services, Inc.LPL Financial LLC$1,00004-19-2018
Keith Richard DorneyFisher InvestmentsWells Fargo Clearing Services, LLC04-18-2018
Amy Barbara BarnesFirebrand Wealth Management, LLCAldrich Wealth LP04-17-2018
Stephen R DempseySecurities America, Inc.Waddell & Reed04-17-2018
David Andrew LloydMerrill Lynch, Pierce, Fenner & Smith IncorporatedSRQ Wealth Advisory, LLC04-16-2018
Jere Robert MeyerCetera Advisor Networks LLCFSIC04-16-2018
Kevin Bonner GlynnNorthwest Asset ManagementMerriman04-12-2018
Richard L MillerCambridge Investment Research, Inc.Northwestern Mutual Investment Services, LLC04-03-2018
Bradley Wayne HeathCetera Investment Services LLCWells Fargo Clearing Services, LLC03-28-2018
Jason Alexander Pearson BausherMerrill Lynch, Pierce, Fenner & Smith IncorporatedInfinex Investments, Inc.$103-28-2018
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Showing 176 to 200 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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