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
Tanya K RangeKey Investment Services LLCWamu Investments, Inc.03-02-2009
Tyson Andrew FarmerKey Investment Services LLCWamu Investments, Inc.04-20-2009
Jason Yong PangKey Investment Services LLCU.S. Bancorp Investments, Inc.05-04-2009
Matthew Hannon GraceKey Investment Services LLCTransamerica Capital, Inc.07-01-2009
Darin Michael RingKey Investment Services LLCChase Investment Services Corp.09-14-2009
Brian Shane JacobusKey Investment Services LLCRBC Capital Markets, LLC10-12-2009
Jeanette S StoflethKey Investment Services LLCChase Investment Services Corp.01-07-2010
Sean Michael JonesKey Investment Services LLCRBC Capital Markets, LLC04-07-2010
Dalibor SimlesaKey Investment Services LLCWells Fargo Investments, LLC07-28-2010
Donald James PaulKey Investment Services LLCRaymond James & Associates, Inc.08-02-2010
Brenda Kay SchmidtKey Investment Services LLCChase Investment Services Corp.08-30-2010
Kathren Hsueh WillsKey Investment Services LLCChase Investment Services Corp.11-08-2010
Craig James Isamu TasaKey Investment Services LLCChase Investment Services Corp.11-23-2010
Hyon Yong KimKey Investment Services LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated12-20-2010
Betty Kay CargillKey Investment Services LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated03-28-2011
Ho Choong ChungKey Investment Services LLCChase Investment Services Corp.04-14-2011
Jason Matthew TompkinsKey Investment Services LLCU.S. Bancorp Investments, Inc.$2507-05-2011
Benjamin Micah WenzelKey Investment Services LLCEdward Jones07-18-2011
Matthew Hannon GraceKey Investment Services LLCCetera Investment Services LLC11-22-2011
Jana Deann Williams-KaiserKey Investment Services LLCEdward Jones12-05-2011
Lane Ryan SteelKey Investment Services LLCEdward Jones01-01-2012
Janine Williamson SatterfieldKey Investment Services LLCWells Fargo Clearing Services, LLC06-04-2012
Dan Craig MclaughlinKey Investment Services LLCU.S. Bancorp Investments, Inc.$5006-25-2012
Neal GovernorKey Investment Services LLCChase Investment Services Corp.08-07-2012
Shannon Kelli PalmerKey Investment Services LLCWells Fargo Clearing Services, LLC08-20-2012
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Showing 1 to 25 of 103 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. All data and information is the property of InvestmentNews LLC and is protected by copyright and other intellectual property laws. All rights are reserved by InvestmentNews LLC. Data may only be viewed on InvestmentNews.com and can not be resold, republished, redistributed, sublicensed, or copied for any other use without the permission of InvestmentNews LLC.

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