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.

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Latest moves


Adviser(s) Firm joining Firm leaving AUM ($M) Date
Michael John ReiselBelpointe Asset Management LLCWaddell & Reed01-11-2019
Seth A RosenbergAbility FirstCapital Executive Solutions01-10-2019
Michael John GreeneCapital Synergy PartnersQuestar Capital Corporation01-08-2019
John Lodge FarmerIndependent Financial Group, LLCRoyal Alliance Associates, Inc.01-04-2019
Danielle FasciJ.P. Morgan Securities LLCSagePoint Financial, Inc.01-04-2019
Douglas Nelson UhlFortune Financial Services, Inc.Royal Alliance Associates, Inc.01-02-2019
Troy W HaugenTriad Advisors LLCIndependent Financial Partners01-02-2019
Nelson Jacinto SecretarioFoundations Investment Advisors LLCRetirement Wealth Advisors, Inc.12-26-2018
Frank John CaliseSecurities America, Inc.Questar Capital Corporation12-26-2018
Edward Henry RodriguezSecurities America, Inc.Questar Capital Corporation12-26-2018
Thomas Donald BenscoterSecurities America, Inc.Questar Capital Corporation12-26-2018
Robert Alan PlowmanMerrill Lynch, Pierce, Fenner & Smith IncorporatedTransamerica Financial Advisors, Inc12-24-2018
Thomas Joseph CaseyBelpointe Asset Management LLCDEAN, CASEY FINANCIAL MANAGEMENT, LLC12-21-2018
Therese Louise RollinsPackerland Brokerage Services, Inc.LaSalle St Securities, L.L.C.12-21-2018
Timothy Lynn GloverPackerland Brokerage Services, Inc.MML Investors Services, LLC12-21-2018
Patricia Ann LloydArdent Wealth Management Inc.LPL Financial LLC12-18-2018
Gerardo MendozaPruco Securities, LLC.BBVA Securities Inc.12-17-2018
Jacob EcholsEdward JonesCharles Schwab & Co., Inc.12-17-2018
Keith A KolomichukRaymond James & Associates, Inc.Wells Fargo Clearing Services, LLC12-17-2018
Annmarie Cardenas AlanizNorthwestern Mutual Investment Services, LLCMette Associates, LLC12-14-2018
Stephen Paksing FungPackerland Brokerage Services, Inc.Foresters Equity Services, Inc.12-14-2018
Kent Anthony ThomsonMorgan StanleyMerrill Lynch, Pierce, Fenner & Smith Incorporated12-14-2018
Daniel Takeshi Masuda LehrmanFidelity Brokerage Services LLCVanguard Marketing Corporation12-13-2018
Charles Edwin TaylorIndependent Financial Group, LLCRoyal Alliance Associates, Inc.$401-04-2019
Spencer Taft PettCharles Schwab & Co., Inc.Morgan Stanley$2512-14-2018
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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 and can not be resold, republished, redistributed, sublicensed, or copied for any other use without the permission of InvestmentNews LLC.