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
Diane Tu Uyen HoHSBC Securities (USA) Inc.UnionBanc Investment Services, LLC01-10-2019
William Robert Ogburn JrNorthwestern Mutual Investment Services, LLCRaymond James & Associates, Inc.01-10-2019
Vanessa Renee FaisonMerrill Lynch, Pierce, Fenner & Smith IncorporatedTIAA-CREF Individual & Institutional Services, LLC01-10-2019
Ekaterini FerentinosJ.P. Morgan Securities LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated01-10-2019
Danny Brent BerrymanPlanMember Securities CorporationLPL Financial LLC01-09-2019
Michael Patrick ThompsonRaymond James Financial Services, Inc.Next Financial Group, Inc.01-09-2019
Gregg Scott LicksteinCadaret, Grant & Co., Inc.SagePoint Financial, Inc.01-09-2019
Veronica Ann MaloneVoya Financial Advisors, Inc.Principal Securities, Inc.01-09-2019
Joshua Michael HayesBenjamin F. Edwards & Company, Inc.Waddell & Reed01-09-2019
Bahram ShidooshShidoosh Wealth Management LLCUnionBanc Investment Services, LLC01-09-2019
Martha Lynn Grimshaw-KillianPNC InvestmentsPruco Securities, LLC.01-09-2019
James Edward McArthurTraderfield Securities Inc.American Portfolios Financial Services, Inc.01-09-2019
Anna Huiping L LiCetera Investment Services LLCBBVA Securities Inc.01-09-2019
Emory T. ErbWells Fargo Clearing Services, LLCBBVA Securities Inc.01-09-2019
Brian Alfredo SalgueroU.S. Bancorp Investments, Inc.UnionBanc Investment Services, LLC01-09-2019
Dana S. BranhamLPL Financial LLCVALIC Financial Advisors, Inc.01-09-2019
David Archer HinesPruco Securities, LLC.Park Avenue Securities LLC01-09-2019
Antonio J EstevesInfinex Investments, Inc.Citizens Securities, Inc.01-09-2019
Lance Robert BeckmanClearWealthNorthwestern Mutual Investment Services, LLC01-09-2019
Kendra Elizabeth KlahrWells Fargo Clearing Services, LLCSantander Securities LLC01-09-2019
Katherine A. RippeThe O.N. Equity Sales CompanyOneAmerica Securities, Inc.01-09-2019
Sadik GokcilJ.P. Morgan Securities LLCSantander Securities LLC01-09-2019
Stephen HumphreyLincoln InvestmentPruco Securities, LLC.01-09-2019
Jared S. CottonCitizens Securities, Inc.Fidelity Brokerage Services LLC01-09-2019
Duc P. LeAmeritas Investment Corp.USI Advisors01-09-2019
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Showing 51 to 75 of 699 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 InvestmentNews.com and can not be resold, republished, redistributed, sublicensed, or copied for any other use without the permission of InvestmentNews LLC.

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