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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Latest moves


Adviser(s) Firm joining Firm leaving AUM ($M) Date
Rogelio PonceJ.P. Morgan Securities LLCWells Fargo Clearing Services, LLC01-11-2019
Peter Tsutae MorimotoFirst Republic Securities Company, LLCWells Fargo Clearing Services, LLC$10001-11-2019
Roy M. Elliott Jr.First Republic Securities Company, LLCWells Fargo Clearing Services, LLC$10001-11-2019
Marena Mary TufenkjianFirst Republic Securities Company, LLCWells Fargo Clearing Services, LLC$2501-11-2019
Ezra T. WhippleLPL Financial LLCDunham & Associates Investment Counsel, Inc.01-11-2019
Mark John EnglundIndependent Financial Group, LLCSecurities America, Inc.01-11-2019
James Bruce JohnsonRoyal Alliance Associates, Inc.Edward Jones01-11-2019
Walter Allan HuberWestern International Securities, Inc.D.A. Davidson & Co.$10001-11-2019
Kenneth David EversfieldWestern International Securities, Inc.D.A. Davidson & Co.$8701-11-2019
Lucius Hosea SaffordPFS Investments Inc.PFS Investments Inc.01-11-2019
Kristen Ann DawsonEdward JonesMerrill Lynch, Pierce, Fenner & Smith Incorporated01-11-2019
Mark William O'GuinnQ4 Strategic Equity Advisors Inc.Q4 Strategic Equity Advisors Inc.01-11-2019
David George SylvesterCavu Wealth AdvisorsCavu Wealth Advisors01-11-2019
Chester William HollidayAndina Family OfficesAndina Family Offices01-11-2019
Vladimir Matthew PixaMy Portfolio Guide, LLCMy Portfolio Guide, LLC01-11-2019
Veronica Naomi ChavarinMorgan StanleyJ.P. Morgan Securities LLC$10001-11-2019
Tadeh MangasarianJ.P. Morgan Securities LLCWells Fargo Clearing Services, LLC01-10-2019
Oren M YaccobeCitigroup Global Markets Inc.IDB Capital Corp.01-10-2019
Diane Tu Uyen HoHSBC Securities (USA) Inc.UnionBanc Investment Services, LLC01-10-2019
Edelith RamirezBBVA Securities Inc.BBVA Securities Inc.01-10-2019
Jason David RoeskeCharles Schwab & Co., Inc.TD Ameritrade, Inc.01-10-2019
Donald James MatthewsonAmeriprise Financial Services, LLCWells Fargo Clearing Services, LLC01-10-2019
Philip Eric WeisbachCetera Advisor Networks LLCHarbour Investments, Inc.01-10-2019
Taleen AkopyanNYLIFE Securities LLCJohn Hancock Distributors LLC01-10-2019
David Daniel LopezPFS Investments Inc.PFS Investments Inc.01-10-2019
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Showing 1 to 25 of 2,182 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.