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
Gilbert Ralph HawkinsLPL Financial LLCQuestar Capital Corporation$1001-07-2019
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
Howard Steven MeyersonLPL Financial LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$10012-07-2018
Michael L. BertolucciLPL Financial LLCQuestar Capital Corporation12-07-2018
Patrick Joseph Phelan IIILPL Financial LLCEdward Jones12-07-2018
Karl Adam PreheimLPL Financial LLCWells Fargo Clearing Services, LLC$1,00012-06-2018
Richard George BassmanLPL Financial LLCMML Investors Services, LLC$1012-06-2018
Arthur Burton VelascoLPL Financial LLCRaymond James Financial Services, Inc.12-06-2018
Richard Karim AzouzLPL Financial LLCSummit Brokerage Services, Inc.$5011-26-2018
Scott Edward BishopLPL Financial LLCWells Fargo Advisors Financial Network, LLC$10011-19-2018
Thomas Patrick MountainLPL Financial LLCWells Fargo Advisors Financial Network, LLC$5011-19-2018
Robert Edward StanwoodLPL Financial LLCWells Fargo Advisors Financial Network, LLC$2511-19-2018
Steven JollyLPL Financial LLCWells Fargo Advisors$19011-15-2018
John Shannon AgostinoLPL Financial LLCWells Fargo Clearing Services, LLC$5011-15-2018
Kenneth Levy, Corey N. Daniel and Dudley McGeeLPL Financial LLCWells Fargo Advisors$20011-14-2018
William James CortusLPL Financial LLCThrivent Investment Management Inc.11-13-2018
Bob BrennanLPL Financial LLCCetera$30010-24-2018
Charles Richard BranchLPL Financial LLCKestra Investment Services, LLC$5010-22-2018
Mark Edmund PalssonLPL Financial LLCNBC Securities, Inc.10-12-2018
Brooke Elizabeth DuchaneyLPL Financial LLCAmeriprise Financial Services, Inc.10-02-2018
Nick Anthony TorresLPL Financial LLCFirst Allied Securities, Inc.$5009-25-2018
Gary Dennis HochmanLPL Financial LLCFirst Allied Advisory Services, Inc.$2509-25-2018
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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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