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

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Adviser(s) Firm joining Firm leaving AUM ($M) Date
Jan Marie SteckerHD Vest Investment ServicesUBS Financial Services Inc.01-11-2019
Douglas Dale CozadCetera Advisor Networks LLCCambridge Investment Research Advisors, Inc.$5001-10-2019
Joanne RogersLPL Financial LLCSecurities America, Inc.$5001-08-2019
Mark Arnold KluenderU.S. Bancorp Investments, Inc.Edward Jones$101-07-2019
Lawrence Andrew KreindelPolar Investment Counsel, Inc.Berthel, Fisher & Company Financial Services, Inc.$101-02-2019
Michael Scott SwansonFSC Securities CorporationPlanMember Securities Corporation01-02-2019
William David PritchardAllstate Financial Services, LLCAXA Advisors, LLC12-20-2018
Peter Lloyd RobinsonKestra Investment Services, LLCPrincipal Securities, Inc.$1012-18-2018
Russell Francis Lewis IIIRBC Capital Markets, LLCWells Fargo Clearing Services, LLC$1,00012-13-2018
Susan Theresa FranklinRBC Capital Markets, LLCWells Fargo Clearing Services, LLC$1,00012-13-2018
Kurt Elliot EricksonIndependent Advisor Alliance, LLCMorgan Stanley12-12-2018
Gina Kay BlairMerrill Lynch, Pierce, Fenner & Smith IncorporatedWells Fargo Clearing Services, LLC12-10-2018
Benjamin Alan LeistikowRBC Capital Markets, LLCUBS Financial Services Inc.$111-30-2018
John Andrew RandolphRBC Capital Markets, LLCUBS Financial Services Inc.$15011-30-2018
Joseph Paul TauerEdward JonesCetera Advisor Networks LLC11-30-2018
Christopher John LawRoyal Alliance Associates, Inc.Cambridge Investment Research, Inc.11-29-2018
John Richard Van CampEdward JonesNYLIFE Securities LLC11-16-2018
Brian Steven GrahekWells Fargo Advisors Financial Network, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$5011-09-2018
Perry Steven LongSecurities America, Inc.Questar Capital Corporation$111-09-2018
Randall Allan GreenWells Fargo Advisors Financial Network, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$2511-09-2018
Bradley Joseph LangeU.S. Bancorp Investments, Inc.Cetera Advisor Networks LLC$5011-07-2018
Paul Daniel WoolfreyArbor Point AdvisorsCambridge Investment Research Advisors, Inc.11-06-2018
Isaiah L GoodmanBecoming Financial Advisory Services, LLCMML Investors Services, LLC11-01-2018
Justin Michael DeringMutual Advisors, LLCCRI Securities, LLC10-31-2018
Mitchell Jacob ThompsonMJT & Associates, LLC. Financial Advisory GroupCambridge Investment Research Advisors, Inc.10-31-2018
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Showing 1 to 25 of 157 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.

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