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

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Adviser(s) Firm joining Firm leaving AUM ($M) Date
Stephen Christopher SimmonsEquity Services, Inc.People's Securities, Inc.$2501-12-2018
Steven Daniel LombardoSecurities America, Inc.National Planning Corporation01-19-2018
Donato Domenic DivirgilioFarmers Financial Solutions, LLCSagePoint Financial, Inc.01-22-2018
Joseph Troy, Robert Caiaze, Adam Reed, James McNairRBC Wealth ManagementWells Fargo Advisors$60001-24-2018
James Louis McnairRBC Capital Markets, LLCWells Fargo Clearing Services, LLC$1,00001-24-2018
Joseph Francis TroyRBC Capital Markets, LLCWells Fargo Clearing Services, LLC$1,00001-24-2018
Michael J LehrhauptMJL Wealth Management, LLCHorter Investment Management, LLC01-24-2018
Robert Michael CaiazeRBC Capital Markets, LLCWells Fargo Clearing Services, LLC$1,00001-24-2018
Kelly EnnisInfinity Financial Strategies, LLCU.S. Wealth Management01-26-2018
Kristen Emeline KaniaCommonwealth Financial NetworkAmeriprise Financial Services, Inc.$1001-26-2018
Miles Nathan SaundersCetera Advisor Networks LLCWestport Resources Investment Services, Inc.01-26-2018
William Bertalin Walsh IIIMorgan StanleyCantor Fitzgerald & Co.01-29-2018
Guy Edwardjohn PhillipsNuorion Advisors, LLCStout Risius Ross Advisors, LLC02-09-2018
Andrew F. AubreyJanney Montgomery ScottBank of America Merrill Lynch$22002-14-2018
Andrew Fredrick AubreyJanney Montgomery Scott LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated02-14-2018
Brian Kenneth PotokVoya Financial Advisors, Inc.AssetMark Brokerage, LLC02-20-2018
Frank Paul Zocco Jr.Voya Financial Advisors, Inc.Cambridge Investment Research, Inc.$5002-20-2018
Jose Rubeiro Da CruzInternational Assets Advisory, LLCMML Investors Services, LLC$1002-22-2018
Christopher Francis HalotekRaymond James & Associates, Inc.Morgan Stanley$1,00002-23-2018
Scott Gregory StevensRaymond James & Associates, Inc.Morgan Stanley02-23-2018
Steven HartmanRaymond James & Associates, Inc.Morgan Stanley$10002-23-2018
Jennifer Vuong HeimsAmeriprise Financial Services, Inc.Cornerstone Capital Partners Inc., N.A.$15002-26-2018
Mark Barkasy Jr.St. Bernard Financial Services, Inc.INVEST Financial Corporation$102-26-2018
John Raymond LandryVoya Financial Advisors, Inc.Waddell & Reed$1802-27-2018
Clare Elizabeth SheridanVoya Financial Advisors, Inc.Charles Schwab & Co., Inc.03-02-2018
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Showing 1 to 25 of 152 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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