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
Mary Ann R. GeeLPL Financial LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated01-03-2019
Roohi Khan DarugarLPL Financial LLCWaddell & Reed12-19-2018
Jacob Nolan GuinnLPL Financial LLCBBVA Securities Inc.12-17-2018
Kathleen Ann Mclaughlin CuencoLPL Financial LLCWinans Investments12-12-2018
Michael L. BertolucciLPL Financial LLCQuestar Capital Corporation12-07-2018
Patrick Joseph Phelan IIILPL Financial LLCEdward Jones12-07-2018
Arthur Burton VelascoLPL Financial LLCRaymond James Financial Services, Inc.12-06-2018
William James CortusLPL Financial LLCThrivent Investment Management Inc.11-13-2018
Mark Edmund PalssonLPL Financial LLCNBC Securities, Inc.10-12-2018
Brooke Elizabeth DuchaneyLPL Financial LLCAmeriprise Financial Services, Inc.10-02-2018
Trung Khanh LaLPL Financial LLCStockpile Investments, Inc.09-04-2018
John Robert SchannepLPL Financial LLCFirst Allied Securities, Inc.09-04-2018
In Ge H. SorensenLPL Financial LLCSummit Brokerage Services, Inc.08-28-2018
Corey N. DanielLPL Financial LLCWells Fargo Advisors Financial Network, LLC08-23-2018
Dudley I. McGeeLPL Financial LLCWells Fargo Advisors Financial Network, LLC08-23-2018
Anthony GrotjahnLPL Financial LLCInvestment Architects, Inc.08-15-2018
Nickolas Leroy GouldLPL Financial LLCWells Fargo Clearing Services, LLC08-15-2018
Li HeLPL Financial LLCWells Fargo Clearing Services, LLC08-15-2018
Arvind VenkateswaranLPL Financial LLCLiberty Group, LLC08-08-2018
Daniel MehanLPL Financial LLCCetera Advisor Networks LLC07-25-2018
Michael Daniel CioccaLPL Financial LLCAmeriprise Financial Services, Inc.07-24-2018
Donald Victor EdwardsLPL Financial LLCHD Vest Investment Services07-20-2018
Matthew FrancoLPL Financial LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated07-13-2018
Steven Lee DavisLPL Financial LLCIndependent Financial Partners07-10-2018
Kristofer V. NguyenLPL Financial LLCCetera Financial Specialists LLC07-09-2018
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Showing 1 to 25 of 108 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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