Sponsored By
Advisers on the Move
Track the latest teams of advisers and brokers who are changing firms and view recruiting activity at wirehouses, regional brokerages, RIAs and independent broker-dealers.
For production and additional details, click on adviser(s) name for full profile.
Filters
Adviser(s)
Firm leaving
Firm joining
| Adviser(s) | Firm joining | Firm leaving | AUM ($M) | Date |
|---|---|---|---|---|
| N/A | N/A | N/A | 11-30--0001 | |
| Richard Saperstein | Hightower Advisors | Bear Stearns | $10,000 | 05-17-2009 |
| Douglas S. Mance | RBC Wealth Management | Bank of America Merrill Lynch | $150 | 07-30-2009 |
| John P. Troiano | Stifel Nicolaus & Co. | Wells Fargo Advisors | $175 | 09-05-2009 |
| John Watts III, Elizabeth Rogers, Ryan Mumy | Capital Investment Co. | Wells Fargo Advisors | $100 | 09-24-2009 |
| Mike Dwyer | RBC Wealth Management | Robert W. Baird & Co. | $205 | 10-02-2009 |
| Penniall, Associates | United Planners Financial Services of America | National Retirement Partners | $1,000 | 10-08-2009 |
| Rhonda Smith, Lynn Syler | RBC Wealth Management | U.S. Trust Bank of America Private Wealth Management | $450 | 11-01-2009 |
| Dudley LaBauve III | Summit Brokerage Services | UBS Financial Services | $28 | 11-09-2009 |
| James Saxe | Summit Brokerage Services | Raymond James | $32 | 11-09-2009 |
| John Bland | Summit Brokerage Services | LPL Financial | $22 | 11-09-2009 |
| Paul Bailley | Summit Brokerage Services | MetLife Securities | $30 | 11-09-2009 |
| Kathleen Almulla | Summit Brokerage Services | Bank of America Merrill Lynch | $29 | 11-09-2009 |
| Christopher Davis, Matthias Kuhlmey | Hightower Advisors | UBS Financial Services | $250 | 11-10-2009 |
| James Crosson | Investors Capital | LPL Financial | $115 | 11-23-2009 |
| James Knee | Investors Capital | Cambridge Investment Research | $50 | 12-21-2009 |
| Bill Madera, John Miller | National Securities | Gunn Allen Financial | $40 | 12-23-2009 |
| Kenneth Gilmore | National Securities | Financial Consulting Group | $92 | 12-23-2009 |
| Mathew Sherbondy | National Securities | Gunn Allen Financial | $40 | 12-23-2009 |
| Paul Bedinger | A.G. Edwards & Sons | Wells Fargo Advisors | $38 | 01-04-2010 |
| Jeff Engler, Frank Germano | Investors Capital | Tower Square Securities | $30 | 01-04-2010 |
| Patrick J. Howley, Betsy Dow | Moneta Group Investment Advisors | A.G. Edwards & Sons | $300 | 01-08-2010 |
| Thomas Veth | National Securities | Gunn Allen Financial | $43 | 01-22-2010 |
| Carlos Van Maanen, Carlos Stolk | Morgan Stanley Smith Barney | UBS Financial Services | $270 | 01-26-2010 |
| Randall Ridenour & Team | Morgan Stanley Smith Barney | UBS Financial Services | $120 | 01-26-2010 |
Disclaimer: The moves in this database come from a number of sources: InvestmentNews and other media reports, press releases, and direct submissions that have been reviewed by InvestmentNews. Any corrections, updates or clarifications should be e-mailed directly to the IN staff.