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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.

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Adviser(s) Firm joining Firm leaving AUM ($M) Date
Steven M. NetzelKalos CapitalMadison Avenue Securities$5501-24-2014
Robert L. Chess, Robert L. HawkinsInvestacorpInvest Financial$15001-24-2014
Mark E. Barczuk, David F. MorenoBenjamin F. Edwards & Co.Wells Fargo Advisors$001-23-2014
Tom Bedor, Laren BedorBenjamin F. Edwards & Co.Wells Fargo Advisors$001-23-2014
Joan Levy MonderBenjamin F. Edwards & Co.Wells Fargo Advisors$001-23-2014
David W. Davies, Jill C. Miller, Kristen A. KetchumBenjamin F. Edwards & Co.RBC Wealth Management$001-23-2014
Kelly D. KerrRBC Wealth ManagementUBS Financial Services$11501-23-2014
Michael Cott, Donald NejedlyMorgan Stanley Wealth ManagementRBC Wealth Management$25001-22-2014
J. Patrick KearnsMorgan Stanley Wealth ManagementFulcrum Securities$18501-22-2014
Rodney A. SimmsGradient Capital AdvisorsAmeriprise Financial$18001-22-2014
Christopher Englebert, Daniel ReitzBeirne Wealth ConsultingMorgan Stanley Wealth Management$25001-22-2014
J. Larry Mills, Christopher G. Venuti, Bryan Mountain, Marc RoggenkampMorgan Stanley Wealth ManagementUBS Financial Services$5,50001-20-2014
Norman L. Oremland, Steven W. GoldfarbJanney Montgomery ScottUBS Financial Services$9701-17-2014
Mark S. RothsteinIndependent Financial GroupPurshe Kaplan Sterling Investments$15001-17-2014
Lawrence J. ZellerInvestors CapitalRoyal Alliance$8901-17-2014
Michael T. MoriartyHighline Wealth ManagementMorgan Stanley Wealth Management$001-15-2014
Aviva PintoHighline Wealth ManagementOpenArc Asset Management$001-15-2014
Keith Havalotti, Gerald Bonner, Jeanine BerattaInvestors CapitalMetLife Securities$5001-14-2014
S. Benjamin Weiner, Michael Hlavek, Duke Marsh, Daniel IosueRaymond JamesMorgan Stanley Wealth Management$55001-14-2014
Ellen M. Duhamel, Thomas J. DornoffLPL FinancialMorgan Stanley Wealth Management$13001-13-2014
Michael L. Cope, William G. MarcouxUBS Financial ServicesBank of America Merrill Lynch$22501-13-2014
Anthony Vaccaro, Jr., Bill Callis, Matt FerrellRaymond JamesSouthwest Securities$001-08-2014
Alan J. SpilkerRaymond JamesBank of America Merrill Lynch$001-08-2014
Jason Saunders, Stephanie E. Kelly, Kendall AchesonRaymond JamesMorgan Stanley Wealth Management$30801-08-2014
Thomas Smith, Dana Falco, Mel LoveladyRBC Wealth ManagementCovenant Multi Family$20001-06-2014
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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.