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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.


Adviser(s) Firm joining Firm leaving AUM ($M) Date
Al Maulini, Joseph ToranoMorgan Stanley Wealth ManagementHSBC Private Bank$12110-01-2013
Scott Siegel, Mehmet Kirdar, Michael O'Hara, Joseph Carmody, Morgan Stanley Wealth ManagementJPMorgan Chase & Co.; UBS Financial Services $1,50010-01-2013
Michael C. Dawson, Stephan R. Farber, Stephen R. Cordill Deutsche BankBank of America Merrill Lynch$1,00010-01-2013
Kevin Guth, Stephen Fordyce, Jeremy SoboleskiSnowden Capital AdvisorsBank of America Merrill Lynch$50010-01-2013
Robert Alpert, Charles Ladenheim, Robert Fusaro, Michael MontuoriWells Fargo AdvisorsMorgan Stanley Wealth Management$1,00009-30-2013
Richard F. TrasportING Financial PartnersRoyal Alliance$7009-26-2013
Frankie BrinING Financial PartnersWalnut Street Securities$6009-26-2013
Wayne MaierSecurities AmericaNational Planning$41409-25-2013
Gordon Kellam, Steven CereBB&T SecuritiesBank of America Merrill Lynch$009-24-2013
Julie A. GamppStifel Nicolaus & Co.U.S. Bancorp Investments$8909-23-2013
Stanley AlintoffMorgan Stanley Wealth ManagementUBS Financial Services $23209-20-2013
Robert Finan, Anthony LaFonteMorgan Stanley Wealth ManagementBank of America Merrill Lynch$40009-20-2013
Gary Englund, Steve OvertonMorgan Stanley Wealth ManagementRaymond James$10009-20-2013
David Hays, Doug HughesJ.W. Cole FinancialSammons Securities$35009-20-2013
Lucian HodgmanInvestors CapitalMoors & Cabot$12009-20-2013
Andrew GonskiLPL FinancialAmeriprise Financial$10009-19-2013
Gregory L. BernhardtNPB Financial GroupSammons Securities$15009-19-2013
Joseph G. YurgecNPB Financial GroupLPL Financial$20009-19-2013
Cynthia D. CowdenNPB Financial GroupTricor Financial$30009-18-2013
Marc S. SchlieferLPL FinancialLincoln Financial$25009-16-2013
Stanley CrisciRBC Wealth ManagementRaymond James$14009-13-2013
John Molkentin, Denise Chin QueeBank of America Merrill LynchMorgan Stanley Wealth Management$18309-10-2013
Diane PadalinoBank of America Merrill LynchGoldman Sachs$32509-10-2013
E. Gray Smith IIIUBS Financial ServicesMorgan Stanley Wealth Management$34509-10-2013
Gary K. Dorfman, Timothy S. Morton-Smith, Andrew H. WinchesterBeacon Pointe Wealth AdvisorsPacific Pointe Advisors$17509-10-2013
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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.