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
Michael Patrick ThompsonRaymond James Financial Services, Inc.Next Financial Group, Inc.01-09-2019
Jamin Lance PurtellLPL Financial LLCSignator Investors, Inc.$101-08-2019
Brian Keith PuddyLPL Financial LLCMML Investors Services, LLC01-07-2019
Michael Joseph MccarthyLPL Financial LLCKestra Investment Services, LLC01-04-2019
David William SosaWells Fargo Clearing Services, LLCAXA Advisors, LLC12-27-2018
Robert Autrey WilliamsLPL Financial LLCWells Fargo Advisors Financial Network, LLC12-19-2018
Gregory Mark FrankLPL Financial LLCSmith, Moore & Co.$5012-14-2018
Ray William Welch IIIMatch Grade AdvisorsFounders Financial Securities LLC12-14-2018
Joanna Lauren FuquaLPL Financial LLCEmerson Equity LLC12-10-2018
Aaron Kyle RainwaterLPL Financial LLCWells Fargo Clearing Services, LLC$2512-07-2018
John Mauldin HoffmanAmeriprise Financial Services, Inc.LPL Financial LLC12-05-2018
William Curtis Watkins Jr.First Citizens Investor Services, Inc.Wells Fargo Clearing Services, LLC11-30-2018
Donald Dewayne DanielLPL Financial LLCWells Fargo Clearing Services, LLC$1,00011-19-2018
James K Cluverius Jr.Merrill Lynch, Pierce, Fenner & Smith IncorporatedRaymond James & Associates, Inc.$111-16-2018
Kenneth Brian IsbellLPL Financial LLCEdward Jones11-16-2018
Carl David Tolson IIILPL Financial LLCCarroll Financial Associates Inc$3511-14-2018
Crystal Owens DunawayLPL Financial LLCCetera Advisor Networks LLC$111-14-2018
Derek James HawkWells Fargo Clearing Services, LLCLPL Financial LLC$5011-14-2018
Jacob Charles CarrLPL Financial LLCCarroll Financial Associates Inc11-14-2018
Keith Robert BentonLPL Financial LLCCarroll Financial Associates Inc$111-14-2018
Zachary Paul BoergerLPL Financial LLCCarroll Financial Associates Inc11-14-2018
Shannon James JohnsonMML Investors Services, LLCPruco Securities, LLC.11-12-2018
Lynn Faust, Michael FaustStifel Nicolaus & Co.Raymond James$28511-12-2018
Bobby E Crouch IIIWells Fargo Clearing Services, LLCU.S. Bancorp Investments, Inc.11-09-2018
Brandon Kyle BentonMerrill Lynch, Pierce, Fenner & Smith IncorporatedAXA Advisors, LLC11-09-2018
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Showing 1 to 25 of 32 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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