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
Valerie Bennett Mclaughlin1st Global Capital Corp.HD Vest Investment Services12-12-2018
Seth Aaron RosenbergAbility FirstCapital Executive Solutions01-10-2019
William David PritchardAllstate Financial Services, LLCAXA Advisors, LLC12-20-2018
Gennaro CostigliolaAllstate Financial Services, LLCQuest Capital Strategies, Inc.$112-11-2018
May Michelle ClaytorAmerican Heritage Securities, Inc.David A. Noyes & Company12-13-2018
Roger Charles WallerAmerican Independent Securities Group, LLCBerthel, Fisher & Company Financial Services, Inc.$101-02-2019
Scott Gregory StevensAmerican Portfolios Financial Services, Inc.Raymond James & Associates, Inc.$5001-10-2019
Andrew Albert Koch Jr.American Portfolios Financial Services, Inc.HD Vest Investment Services$101-04-2019
Daniel Alexander RoscoeAmerican Portfolios Financial Services, Inc.Royal Alliance Associates, Inc.12-21-2018
Alexander ZingerAmerican Portfolios Financial Services, Inc.Independent Financial Group, LLC$112-20-2018
Stephen Ira GilbergAmerican Portfolios Financial Services, Inc.Questar Capital Corporation$5012-14-2018
Angie Messer, Greg Rust Ameriprise FinancialHilliard Lyons$18212-14-2018
Sean Riley Ameriprise FinancialWells Fargo Clearing Services$10011-28-2018
David KutzAmeriprise FinancialWells Fargo Advisors$12310-26-2018
Rick MundraneAmeriprise FinancialMorgan Stanley Wealth Management$10611-09-2018
Keith Matthew KordichAmeriprise Financial Services, Inc.Morgan Stanley$10001-11-2019
Paul Joseph MuehlnickelAmeriprise Financial Services, Inc.Wells Fargo Clearing Services, LLC01-11-2019
Mark Allen StoffelAmeriprise Financial Services, Inc.Robert W. Baird & Co. Incorporated$101-10-2019
Joe Tom King Jr.Ameriprise Financial Services, Inc.Raymond James & Associates, Inc.$101-04-2019
Richard Evelyn WaceAmeriprise Financial Services, Inc.Wells Fargo Clearing Services, LLC$5001-04-2019
Eric Travis RoarkAmeriprise Financial Services, Inc.Oppenheimer & Co. Inc.$112-26-2018
Linda Ann BauwensAmeriprise Financial Services, Inc.Thrivent Investment Management Inc.12-21-2018
Joel D AyersAmeriprise Financial Services, Inc.BB&T Securities, LLC$2512-19-2018
Gordon Leonard BryanAmeriprise Financial Services, Inc.Wells Fargo Clearing Services, LLC$1,00012-18-2018
Gregory Charles KeilAmeriprise Financial Services, Inc.CUSO Financial Services, L.P.12-17-2018
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Showing 1 to 25 of 557 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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