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
Aaron K. RainwaterLPL Financial LLCWells Fargo Clearing Services, LLC$2512-07-2018
Aaron M WatkinsAmeriprise Financial Services, Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated02-07-2018
Alan Robert Nachman IINachman Norwood & Parrott, Inc.Wells Fargo Advisors Financial Network, LLC05-01-2018
Amy Cooper ColeRaymond James Financial Services, Inc.SunTrust Investment Services, Inc.03-02-2018
Andrew Carroll JaffeeApollon Wealth Management, LLCNorthwestern Mutual Investment Services, LLC03-06-2018
Andrew Craig GuinnWells Fargo Clearing Services, LLCCetera Investment Services LLC03-29-2018
Andrew W. TopkaThe Blue Oak Group, LLCKalos Capital, Inc.03-16-2018
Anne Lucius KleitchesRoyal Alliance Associates, Inc.Signator Investors, Inc.$2511-02-2018
Anthony Raymond CaseApollon Wealth Management, LLCNorthwestern Mutual Investment Services, LLC03-06-2018
Archibald HardyFinTrust Capital Advisors, LLCFINTRUST INVESTMENT ADVISORY SERVICES, LLC03-23-2018
Barry A. BarnetteGWN Securities Inc.FORESTERS EQUITY SERVICES, INC.10-18-2018
Benjamin David GieseLPL Financial LLCInfinex Investments, Inc.11-27-2018
Bobby E Crouch IIIWells Fargo Clearing Services, LLCU.S. Bancorp Investments, Inc.11-09-2018
Bradford Thomas RamseyLPL Financial LLCMorgan Stanley$15008-28-2018
Brandon Kyle BentonMerrill Lynch, Pierce, Fenner & Smith IncorporatedAXA Advisors, LLC11-09-2018
Brian Keith PuddyLPL Financial LLCMML Investors Services, LLC01-07-2019
Bryan Clark NeillLPL Financial LLCINVEST Financial Corporation02-14-2018
Bryan James KazleySunTrust Investment Services, Inc.Wells Fargo Clearing Services, LLC$5005-18-2018
Carl David Tolson IIILPL Financial LLCCarroll Financial Associates Inc$3511-14-2018
Carter R. HallNachman Norwood & Parrott, Inc.Wells Fargo Advisors Financial Network, LLC05-01-2018
Catherine Cynthia LattoRoyal Alliance Associates, Inc.Signator Investors, Inc.$2511-02-2018
Charles Bradley SpehlCetera Advisor Networks LLCMML Investors Services, LLC02-07-2018
Christopher Paul StephensonLPL Financial LLCINVEST Financial Corporation02-14-2018
Colin Tallmadge MeddaughAE Wealth Management, LLCFirst Command Financial Planning, Inc.11-01-2018
Craig Upton ColbyEdward JonesLiberty Partners Financial Services, LLC01-07-2019
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Showing 1 to 25 of 133 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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