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
Mark Vernon FautschCorinthian Partners, L.L.C.Northland Securities, Inc.$10001-04-2019
Michael Joseph MccarthyLPL Financial LLCKestra Investment Services, LLC01-04-2019
Nelson Negron Jr.LPL Financial LLCMorgan Stanley$101-04-2019
Rebecca Lauren TrachtenbergLPL Financial LLCKestra Investment Services, LLC01-04-2019
Richard Evelyn WaceAmeriprise Financial Services, Inc.Wells Fargo Clearing Services, LLC$5001-04-2019
Steven Eric EricksonInternational Assets Advisory, LLCLPL Financial LLC$2501-04-2019
Thomas John CamaVerity Investments, Inc.Muriel Siebert & Co., Inc.$1001-04-2019
Timothy Robert WellmanLPL Financial LLCFirst Heartland Capital, Inc.01-04-2019
Whitney C RuggOppenheimer & Co. Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated01-04-2019
William Luther DukeCetera Advisors LLCQuestar Capital Corporation$1401-04-2019
Alexis Mikhail-Hirahara BuchholzBFG Wealth Management LLCAmeriprise Financial Services, Inc.01-03-2019
Carolyn Olene HaanMerrill Lynch, Pierce, Fenner & Smith IncorporatedWells Fargo Clearing Services, LLC$10001-03-2019
Charles Gregory MajorsCenter Street Securities, Inc.PlanMember Securities Corporation$10001-03-2019
Christopher Mark RorieEquity Services, Inc.Questar Capital Corporation01-03-2019
Clifford Adams Bartlett IIIStifel, Nicolaus & Company, IncorporatedWells Fargo Clearing Services, LLC$5001-03-2019
David HendersonLPL Financial LLC1st Global Capital Corp.01-03-2019
David Grant SteppRegulus Advisors, LLCAmerican Portfolios Financial Services, Inc.$5001-03-2019
Douglas Hart BirnieOakmont Wealth Advisory, LLCHayden Royal01-03-2019
Edwin V MunsonFortune Financial Services, Inc.Independent Financial Group, LLC$4901-03-2019
Eric Paul LovasMML Investors Services, LLCWells Fargo Clearing Services, LLC$5001-03-2019
Esther Kuznetz HaltInternational Assets Advisory, LLCH. Beck, Inc.01-03-2019
Frederick Raymond StubbsSummit Financial, LLCPurshe Kaplan Sterling Investments01-03-2019
Gena Jacobs WolbrechtLPL Financial LLCCetera Investment Services LLC01-03-2019
James J CaristiaLPL Financial LLC1st Global Capital Corp.01-03-2019
Jason A SnipeSaxony Securities, Inc.Kestra Investment Services, LLC01-03-2019
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Showing 151 to 175 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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