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
Amy Elizabeth FinkLPL Financial LLCMorgan Stanley$5001-11-2018
David Randal GouldPruco Securities, LLC.Sigma Financial Corporation01-12-2018
David Geoffrey MannHighland Capital Advisors, LLCLPL Financial LLC01-22-2018
Saikou SannehKey Investment Services LLCJ.P. Morgan Securities LLC01-22-2018
Alissa Ellen DepueMerrill Lynch, Pierce, Fenner & Smith IncorporatedJ.P. Morgan Securities LLC01-23-2018
Roseann Mary PinciottoPruco Securities, LLC.Waddell & Reed01-24-2018
Deborah Jean DodsonAXA Advisors, LLCPruco Securities, LLC.01-29-2018
Edwin Joseph KleinKestra Investment Services, LLCD.A. Davidson & Co.$14901-31-2018
Julia Theresa CosseRaymond James & Associates, Inc.Cosse' International Securities, Inc.01-31-2018
Brenda Rose PingreeKMS Financial Services, Inc.FSIC02-01-2018
Kristine K. KannoOpal AdvisorsVoya Financial Advisors, Inc.02-01-2018
Harve Eugene MenkensPacific Portfolio Consulting, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated02-02-2018
Chad Ray ErwinAllstate Financial Services, LLCState Farm VP Management Corp.02-05-2018
Michael George MiserMerrill Lynch, Pierce, Fenner & Smith IncorporatedStratos Wealth Partners, Ltd02-08-2018
Stephen J. CookeMML Investors Services, LLCAmeritas Investment Corp.02-12-2018
Sharon Lee HansenThe O.N. Equity Sales CompanyIndependent Financial Group, LLC02-13-2018
Dustin Edward MarlettRaymond James Financial Services, Inc.Wells Fargo Advisors Financial Network, LLC02-13-2018
Rodney Kenneth OstlundLPL Financial LLCINVEST Financial Corporation$10002-14-2018
Daniel James WiersmaLPL Financial LLCSII Investments, Inc.$5002-14-2018
Jacob Daniel KleinLPL Financial LLCINVEST Financial Corporation$2502-14-2018
Geraldine Ann SchuhmannLPL Financial LLCINVEST Financial Corporation$2502-14-2018
Jeff Berry IunkerLPL Financial LLCINVEST Financial Corporation02-14-2018
Timothy Edward SeiversLPL Financial LLCINVEST Financial Corporation02-14-2018
Warren Bradford StickneyLion Street Financial, LLCM Holdings Securities, Inc.$10002-16-2018
Jeffrey Dean WallsWells Fargo Clearing Services, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$5002-16-2018
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Showing 1 to 25 of 217 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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