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

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Adviser(s) Firm joining Firm leaving AUM ($M) Date
Carol Lynn GregoryWells Fargo Advisors Financial Network, LLCWells Fargo Clearing Services, LLC$15001-11-2019
Victor Louis LarosaRobert W. Baird & Co. IncorporatedMorgan Stanley$10001-11-2019
Christopher Michael AllenEdward JonesCetera Investment Services LLC$10001-11-2019
Mark Sean RodrickWells Fargo Advisors Financial Network, LLCMorgan Stanley$10001-11-2019
Keith Matthew KordichAmeriprise Financial Services, Inc.Morgan Stanley$10001-11-2019
Peter Tsutae MorimotoFirst Republic Securities Company, LLCWells Fargo Clearing Services, LLC$10001-11-2019
Roy M. Elliott Jr.First Republic Securities Company, LLCWells Fargo Clearing Services, LLC$10001-11-2019
Les Walker WatsonAPW Capital, Inc.YellowWood Wealth Solutions, LLC$10001-11-2019
Fred JaramilloWells Fargo Advisors Financial Network, LLCMorgan Stanley$10001-11-2019
Veronica Naomi ChavarinMorgan StanleyJ.P. Morgan Securities LLC$10001-11-2019
Kenneth David EversfieldWestern International Securities, Inc.D.A. Davidson & Co.$8701-11-2019
Jason Michael SprungWells Fargo Advisors Financial Network, LLCMorgan Stanley$5001-11-2019
Shane Ross AbernathyHilltop Securities Independent Network Inc.Ameriprise Financial Services, Inc.$5001-11-2019
Todd Addison HaackeStifel, Nicolaus & Company, IncorporatedMorgan Stanley$5001-11-2019
Kathleen Erin KellyWilliam BlairAmeriprise Financial Services, Inc.$5001-11-2019
Roxanne D. McElroyStifel, Nicolaus & Company, IncorporatedUBS Financial Services Inc.$2501-11-2019
John Joseph HorriganLPL Financial LLCNorthwestern Mutual Investment Services, LLC$2501-11-2019
Marena Mary TufenkjianFirst Republic Securities Company, LLCWells Fargo Clearing Services, LLC$2501-11-2019
Jason RerichaAPW Capital, Inc.YellowWood Wealth Solutions, LLC$1201-11-2019
Louise Frances ColemanNational Securities CorporationFSC Securities Corporation$1001-11-2019
Lawrence David SilvermanAmeriprise Financial Services, Inc.360 Wealth Management, LLC$1001-11-2019
Mark John EnglundIndependent Financial Group, LLCSecurities America, Inc.01-11-2019
Jonathan Hugh RegisterStifel, Nicolaus & Company, IncorporatedMerrill Lynch, Pierce, Fenner & Smith Incorporated01-11-2019
Jan Marie SteckerHD Vest Investment ServicesUBS Financial Services Inc.01-11-2019
Jonathon Whitacre SanningMML Investors Services, LLCPruco Securities, LLC.01-11-2019
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Showing 1 to 25 of 698 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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