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.

Considering changing firms, making a new hire or exploring an acquisition? Visit the Adviser Center.

Latest moves

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Adviser(s) Firm joining Firm leaving AUM ($M) Date
Kevin E. CurrierKey Investment Services LLCChase Investment Services Corp.10-18-2012
Mark Anders ChristensenUnited Planners' Financial Services of America A Limited PartnerChase Investment Services Corp.09-18-2012
David Eugene OathoutMerrill Lynch, Pierce, Fenner & Smith IncorporatedChase Investment Services Corp.09-06-2012
Amber R CowartMerrill Lynch, Pierce, Fenner & Smith IncorporatedChase Investment Services Corp.08-30-2012
Neal GovernorKey Investment Services LLCChase Investment Services Corp.08-07-2012
Devon Faye LopezSymetra Investment Services, Inc.Chase Investment Services Corp.08-06-2012
Fatima JosephHSBC Securities (USA) Inc.Chase Investment Services Corp.06-20-2012
Bang-Nhan Luong NguyenCUSO Financial Services, L.P.Chase Investment Services Corp.04-16-2012
Lowell Thomas DiersWells Fargo Clearing Services, LLCChase Investment Services Corp.$2503-30-2012
Jane Connelly LoebU.S. Bancorp Investments, Inc.Chase Investment Services Corp.08-17-2011
Lisa Jean RookairdUnionBanc Investment Services, LLCChase Investment Services Corp.07-26-2011
Joseph Max CarterEdward JonesChase Investment Services Corp.07-08-2011
Todd Matthew HankinsWells Fargo Clearing Services, LLCChase Investment Services Corp.07-08-2011
Gabriel Lewis MedinaFinancial & Estate Advisors, IncChase Investment Services Corp.06-09-2011
Bertha Silvya GardinerU.S. Bancorp Investments, Inc.Chase Investment Services Corp.05-13-2011
Terry L ThomasonU.S. Bancorp Investments, Inc.Chase Investment Services Corp.05-03-2011
Ho Choong ChungKey Investment Services LLCChase Investment Services Corp.04-14-2011
Lance Kenji NekotaLPL Financial LLCChase Investment Services Corp.$5003-29-2011
Song Yon YiUSAA FINANCIAL PLANNING SERVICESChase Investment Services Corp.03-08-2011
Steven Frederick BecherWells Fargo Clearing Services, LLCChase Investment Services Corp.$5003-04-2011
William Gordon TuttleWells Fargo Clearing Services, LLCChase Investment Services Corp.$5003-02-2011
Randy Robert FlickerRaymond James Financial Services, Inc.Chase Investment Services Corp.$5002-25-2011
Donald Wade SteffinsAmeriprise Financial Services, Inc.Chase Investment Services Corp.01-14-2011
Douglas Phillip HaackCornerstone Advisors IncChase Investment Services Corp.01-14-2011
Craig James Isamu TasaKey Investment Services LLCChase Investment Services Corp.11-23-2010
Next Page »

Showing 1 to 25 of 49 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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