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


Adviser(s) Firm joining Firm leaving AUM ($M) Date
Michael Kennedy CarberryLPL Financial LLCOppenheimer & Co. Inc.$15005-16-2019
James A BoyleLPL Financial LLCMML Investors Services, LLC05-17-2019
Robert Michael EdelsonCetera Advisor Networks LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$5005-20-2019
Robert Frazier Coon IIIMerrill Lynch, Pierce, Fenner & Smith IncorporatedWells Fargo Clearing Services, LLC05-20-2019
Steven Charles TumminelloBCG Securities, Inc.McMahon Financial Advisors, LLC05-22-2019
Michael Scott SaulTranscend Wealth Collective, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated05-23-2019
Frank Eugene E. Pavese Jr.Wells Fargo Clearing Services, LLCUBS Financial Services Inc.$5005-24-2019
James Grant VarzalCadaret, Grant & Co., Inc.Royal Alliance Associates, Inc.$2505-24-2019
Jeffrey Gordon WrightsonCadaret, Grant & Co., Inc.Royal Alliance Associates, Inc.05-24-2019
Timothy Francis Grable Jr.LPL Financial LLCPark Avenue Securities LLC$5005-29-2019
Richard Alan HagertyAmeriprise Financial Services, Inc.UBS Financial Services Inc.$10005-31-2019
Francis James DunnRaymond James Financial Services, Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$5005-31-2019
Eric Robert ListickLPL Financial LLCRaymond James Financial Services, Inc.$2505-31-2019
Andy GarciaPruco Securities, LLC.AXA Advisors, LLC05-31-2019
Bryan James BaccaroAllstate Financial Services, LLCAXA Advisors, LLC06-03-2019
Perry M. SuttonCommonwealth Financial NetworkCitizens Securities, Inc.06-03-2019
Bradley John HargraveJ.P. Morgan Securities LLCPrudential Investment Management Services LLC06-03-2019
William Edward DudesPleasantdale Wealth Management, LLCAmerican Portfolios Advisors, Inc06-05-2019
Henry Chin KimTD Ameritrade Investment Management, LLCFidelity Brokerage Services LLC06-05-2019
Kevin McLaughlinAmeriprise Financial Services, Inc.Oppenheimer & Co. Inc.06-05-2019
William Edward DudesPleasantdale Wealth Management, LLCAmerican Portfolios Financial Services, Inc.06-05-2019
Robert James MasciaGreen Ridge Wealth Planning LLCLPL Financial LLC06-06-2019
Tibor Richard Dani Jr.Wealthness LLCAmeriprise Financial Services, Inc.06-07-2019
David Michael GottliebAPW Capital, Inc.Ameriprise Financial Services, Inc.06-07-2019
Robert Alan KochCadaret, Grant & Co., Inc.M&T Securities, Inc.06-10-2019
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Showing 1 to 25 of 35 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 and can not be resold, republished, redistributed, sublicensed, or copied for any other use without the permission of InvestmentNews LLC.


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