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.

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Adviser(s) Firm joining Firm leaving AUM ($M) Date
Alan L. BroderickPurshe Kaplan Sterling InvestmentsWells Fargo Advisors Financial Network, LLC$20003-01-2018
Dari Michaela BasorePurshe Kaplan Sterling InvestmentsSecurities America, Inc.$2503-02-2018
Anthony Shane BellPurshe Kaplan Sterling InvestmentsSecurities America, Inc.03-02-2018
Michael Edward RinglerPurshe Kaplan Sterling InvestmentsNorthwestern Mutual Investment Services, LLC03-26-2018
Louis Frank CheregotisPurshe Kaplan Sterling InvestmentsWells Fargo Clearing Services, LLC$1,00003-29-2018
Brian Bova, David Leeds Eustis and Marc OsterPurshe Kaplan Sterling InvestmentsUBS Financial Services Inc. Inc.$2,00004-06-2018
Joshua Jay JerelePurshe Kaplan Sterling InvestmentsUBS Financial Services Inc.04-06-2018
Donna L. HerreraPurshe Kaplan Sterling InvestmentsH. Beck, Inc.05-01-2018
Howard Roger Miller Jr.Purshe Kaplan Sterling InvestmentsWells Fargo Clearing Services, LLC$5005-07-2018
Iain Whyte, Simon Holford, Bryan MuthPurshe Kaplan Sterling InvestmentsMerrill Lynch, Pierce, Fenner & Smith Incorporated$80005-18-2018
Simon Matthew HolfordPurshe Kaplan Sterling InvestmentsMerrill Lynch, Pierce, Fenner & Smith Incorporated$10005-18-2018
David Walsh Connors Jr.Purshe Kaplan Sterling InvestmentsRBC Capital Markets, LLC06-01-2018
John Alan NewsomePurshe Kaplan Sterling InvestmentsMaryland Financial Group, Inc.$1106-29-2018
Craig Aaron SlaubaughPurshe Kaplan Sterling InvestmentsKey Investment Services LLC07-11-2018
Simeon Gilmore Eaves Jr.Purshe Kaplan Sterling InvestmentsNorthwestern Mutual Investment Services, LLC07-19-2018
Michael Henley, Steve Macano, Tracy B. McGuirePurshe Kaplan Sterling InvestmentsMerrill Lynch, Pierce, Fenner & Smith Incorporated07-27-2018
Jameson Eugene HamiltonPurshe Kaplan Sterling InvestmentsMcLaughlin Ryder Investments, Inc.$10009-12-2018
Elizabeth Ann EmrPurshe Kaplan Sterling InvestmentsLPL Financial LLC$10009-14-2018
Gregory Michael EmrPurshe Kaplan Sterling InvestmentsLPL Financial LLC$4909-14-2018
Frank Lawrence VanorePurshe Kaplan Sterling InvestmentsSummit Equities, Inc.09-19-2018
Joseph William SpadaPurshe Kaplan Sterling InvestmentsSummit Equities, Inc.09-19-2018
Robert Anthony BeckettPurshe Kaplan Sterling InvestmentsSummit Financial Resources Inc09-19-2018
Bruce Lee ResnikPurshe Kaplan Sterling InvestmentsSummit Financial Resources Inc09-19-2018
Andrea Lee OrlandoPurshe Kaplan Sterling InvestmentsSummit Equities, Inc.09-19-2018
Mark John OlearyPurshe Kaplan Sterling InvestmentsSummit Equities, Inc.09-19-2018
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Showing 1 to 25 of 59 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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