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

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Adviser(s) Firm joining Firm leaving AUM ($M) Date
David HendersonLPL Financial LLC1st Global Capital Corp.01-03-2019
James J CaristiaLPL Financial LLC1st Global Capital Corp.01-03-2019
Joseph ReedLPL Financial LLC1st Global Capital Corp.$10001-03-2019
Michael StieglitzLPL Financial LLC1st Global Capital Corp.$1001-02-2019
Natacha Tania SmithLPL Financial LLC1st Global Capital Corp.$2501-02-2019
Karen Yvonne HolmesLPL Financial LLC1st Global Capital Corp.$2512-19-2018
Mariette Denise Luchini - JacobsonHD Vest Investment Services1st Global Capital Corp.12-12-2018
Cynthia Elizabeth SheltonSecurities America, Inc.1st Global Capital Corp.$2512-05-2018
Katherine Carmichael MorosaniEdward Jones1st Global Capital Corp.11-16-2018
Bruce William LahtiRBC Capital Markets, LLC1st Global Capital Corp.$5011-07-2018
Jay Michael SmallWoodbury Financial Services, Inc.1st Global Capital Corp.$111-06-2018
Philip Jesus HerreraHD Vest Investment Services1st Global Capital Corp.$110-18-2018
John Reid GreenEGP Wealth Management, LLC1st Global Capital Corp.10-16-2018
Sean Ian McdougleNest Financial LLC360 Wealth Management, LLC11-05-2018
Charles Richard MontgomeryOppenheimer & Co. Inc.ADP Broker-Dealer, Inc.11-13-2018
Kent Alan Maclachlan Jr.MacLachlan Wealth ManagementAdvicePeriod, LLC12-06-2018
Ronald Perez PalancaStratos Wealth Partners, LtdAdvisors' Pride Inc.12-17-2018
Harlene Liss GantmanMorgan StanleyAegis Capital Corp.11-29-2018
Jean-Matthieu JosseA.G.P. / Alliance Global PartnersAegis Capital Corp.11-02-2018
Francis Xavier SchiavettiStoever, Glass & Company Inc.Aegis Capital Corp.$15010-23-2018
Omar J. Garcia RiveraMerrill Lynch, Pierce, Fenner & Smith IncorporatedAegis Capital Corp.10-11-2018
Brian Robert RothNewbridge Securities CorporationAeon Capital Inc$5012-19-2018
Bret Myles KinzlerInfinex Investments, Inc.Alerus Securities Corporation$112-07-2018
Keith George BurckInfinex Investments, Inc.Alerus Securities Corporation12-06-2018
Donald George Gervais Jr.Gervais Capital Management, LLCAllianz Global Investors Distributors LLC11-30-2018
Next Page »

Showing 1 to 25 of 1,837 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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