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
Douglas Dale CozadCetera Advisor Networks LLCCambridge Investment Research, Inc.$5001-10-2019
Charmaine Valois KaesPeak Brokerage Services, LLCCambridge Investment Research, Inc.01-03-2019
Patrick Sturmer PaxtonInvestment Planning AdvisorsCambridge Investment Research, Inc.01-02-2019
Aderon Alan NapierHD Vest Investment ServicesCambridge Investment Research, Inc.12-21-2018
Winnie Hui KnappTranscend Financial Advisors Inc.Cambridge Investment Research, Inc.11-19-2018
Paul Daniel WoolfreySecurities America, Inc.Cambridge Investment Research, Inc.$2511-06-2018
Lisa Marie MazzolaCWM, LLCCambridge Investment Research, Inc.11-05-2018
Larry Don GillSowell Management ServicesCambridge Investment Research, Inc.11-02-2018
William John HahnThe Leaders Group, Inc.Cambridge Investment Research, Inc.$5011-01-2018
Donald Glenn BakerSowell Management ServicesCambridge Investment Research, Inc.11-01-2018
Anne Elise PetersonLPL Financial LLCCambridge Investment Research, Inc.10-19-2018
Robert George Burleson Jr.Keel Point Capital, LLCCambridge Investment Research, Inc.$5010-16-2018
Nancy R. JaureguiConcorde Investment Services, LLCCambridge Investment Research, Inc.$2510-16-2018
Richard L. DollPrivate Advisor Group, LLCCambridge Investment Research, Inc.10-10-2018
Jeffery Wayne KestingCetera Advisor Networks LLCCambridge Investment Research, Inc.$1010-09-2018
Julien Luca BlanconMerrill Lynch, Pierce, Fenner & Smith IncorporatedCambridge Investment Research, Inc.10-08-2018
John Leonard NelsonTAG Wealth AdvisorsCambridge Investment Research, Inc.10-04-2018
Sam Fathy GhalySanta Monica Wealth Management, LLCCambridge Investment Research, Inc.10-02-2018
Brian Jason CarneyPurshe Kaplan Sterling InvestmentsCambridge Investment Research, Inc.$5010-01-2018
Jarrett Franklin MorrisBlue Rock RiversEdgeCambridge Investment Research, Inc.10-01-2018
Nathan Adam HockleyLifeMark Securities Corp.Cambridge Investment Research, Inc.$5009-26-2018
Todd Ashley RoselleBlue Rock Dravo BayCambridge Investment Research, Inc.09-26-2018
Gregory John BavedasWells Fargo Clearing Services, LLCCambridge Investment Research, Inc.09-19-2018
David John NesbittLPL Financial LLCCambridge Investment Research, Inc.$2509-18-2018
Joseph Dale HermesLPL Financial LLCCambridge Investment Research, Inc.$5009-05-2018
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Showing 1 to 25 of 36 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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