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
Kathi Delacy BoratkoTriad Advisors LLCEF Legacy Securities, LLC10-22-2018
James MunroMorgan StanleyAXA Advisors, LLC10-22-2018
Jaclyn Ann HissickCWM, LLCInfinex Investments, Inc.$15010-19-2018
Mark Allan PappaFinancial Resources Group, LLCLincoln Financial Securities Corporation10-18-2018
Daniel David JonkerFieldpoint Private Securities, LLCJ.P. Morgan Securities LLC10-15-2018
Thomas D. LewisLPL Financial LLCCUSO Financial Services, L.P.$5010-12-2018
Sarah PetroneUBS Financial Services Inc.Morgan Stanley10-12-2018
Renee Patricia VanekLPL Financial LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$26510-11-2018
Frances Joy A. CaldwellWells Fargo Clearing Services, LLCJ.P. Morgan Securities LLC10-11-2018
James Wheaton WarnerLPL Financial LLCNorthstar Wealth Partners LLC$1010-06-2018
Peter Gene YacovoneCommonwealth Financial NetworkWells Fargo Clearing Services, LLC$1,00010-05-2018
Mark Allen GantnerCommonwealth Financial NetworkWells Fargo Clearing Services, LLC$5010-05-2018
Raymond Arthur BrodeurAmeriprise Financial Services, LLCOhanesian / Lecours, Inc.10-02-2018
James John ZienCommonwealth Financial NetworkAmeriprise Financial Services, LLC$10009-28-2018
Kate Sophia ZienCommonwealth Financial NetworkAmeriprise Financial Services, LLC09-28-2018
Ronald Jack HoltzEdward JonesOppenheimer & Co. Inc.09-28-2018
Kathryn Daily BramleyInfinex Investments, Inc.Key Investment Services LLC09-27-2018
Louis Ernest RizzoMorgan StanleyAXA Advisors, LLC$5009-27-2018
Christopher Jacob DibbleMorgan StanleyCharles Schwab & Co., Inc.09-27-2018
Joshua Samuel GoldbergGYL Financial Synergies, LLCAXA Advisors, LLC09-26-2018
Cathy Yance YanceFidelity Brokerage Services LLCE D & F Man Capital Markets Inc.09-25-2018
Ryan D HansonPruco Securities, LLC.Nationwide Securities, LLC09-25-2018
Linda A. SchoffFidelity Brokerage Services LLCDavid Lerner Associates, Inc.09-24-2018
Andrew W. PrydeTIAA-CREF Individual & Institutional Services, LLCFidelity Personal and Workplace Advisors09-24-2018
Andrew Drake SawyerThames Financial ManagementFirst Manhattan Co09-24-2018
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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.