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
Jason Adam TapiaAmeriprise Financial Services, Inc.American Funds Distributors, Inc.08-09-2018
Jane Ballard FontaineAmeriprise Financial Services, Inc.AXA Advisors, LLC$5006-21-2018
Marc Leonard BreuerAmeriprise Financial Services, Inc.Benjamin F. Edwards & Company, Inc.$25002-01-2018
Stanley Irvin RoyAmeriprise Financial Services, Inc.CSSC Brokerage Services, Inc.09-19-2018
Dale Cebert, Chad Noble, Mark Dickerson, Alec Thomas, Scott Maxwell and Keriann MitchellAmeriprise Financial Services, Inc.FSC Securities$44410-29-2018
Dale Lawrence CebertAmeriprise Financial Services, Inc.FSC Securities Corporation$25008-15-2018
Scott Henry MaxwellAmeriprise Financial Services, Inc.FSC Securities Corporation$25008-15-2018
Alexander Turner Thomas IVAmeriprise Financial Services, Inc.FSC Securities Corporation$15008-15-2018
Mark Lee DickersonAmeriprise Financial Services, Inc.FSC Securities Corporation$10008-15-2018
Chad Anthony NobleAmeriprise Financial Services, Inc.FSC Securities Corporation08-15-2018
Sean D. FentonAmeriprise Financial Services, Inc.Hennion & Walsh, Inc.$10007-16-2018
Harold Jay LauberAmeriprise Financial Services, Inc.Herbert J. Sims & Co, Inc.10-16-2018
Lucas Frank MooreAmeriprise Financial Services, Inc.IFS Securities08-13-2018
Richard Michael Waters Jr.Ameriprise Financial Services, Inc.Infinex Investments, Inc.$5010-16-2018
Kyle Eugene StroudAmeriprise Financial Services, Inc.Investment Professionals, Inc.$2509-11-2018
Patrick Ross MaddenAmeriprise Financial Services, Inc.INVESTMENT PROFESSIONALS, INC.$15006-22-2018
Mark Andrew SuttonAmeriprise Financial Services, Inc.J.P. Morgan Securities LLC11-19-2018
David BerryAmeriprise Financial Services, Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated01-02-2019
Robert Joseph DimariaAmeriprise Financial Services, Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$5011-16-2018
Carlos A AmarisAmeriprise Financial Services, Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$5004-20-2018
Jeffrey EagleAmeriprise Financial Services, Inc.Mora WM Securities$9907-20-2018
Jeffrey Mark EagleAmeriprise Financial Services, Inc.Mora WM Securities$5008-03-2018
Jack Lee KaplanAmeriprise Financial Services, Inc.Mora WM Securities08-03-2018
Keith Matthew KordichAmeriprise Financial Services, Inc.Morgan Stanley$10001-11-2019
Edward Albert CarterAmeriprise Financial Services, Inc.Morgan Stanley$5711-23-2018
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Showing 1 to 25 of 44 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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