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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
Stephen R. BesseRaymond JamesMorgan Stanley Wealth Management$36005-12-2014
Gary PolakoffAWM Global AdvisorsMorgan Stanley Wealth Management$9705-12-2014
Larry E. Jones, Taylor R. JonesRetirement Benefits GroupVanguard Capital$9005-09-2014
Ron NalvenInvestors CapitalRoyal Alliance$5205-09-2014
Scott StudwellSterne, Agee & LeachKeefe, Bruyette & Woods$21705-06-2014
Matthew T. GriffithWashington Wealth ManagementBank of America Merrill Lynch$7505-06-2014
Joel J. Guth, Catherine E. Cory, Angelo Manzo Jr., Judy L. RoseberryHightower AdvisorsMorgan Stanley Wealth Management$60005-06-2014
Howard Rowen, Halsey SmithBank of America Merrill LynchUBS Financial Services; Deutsche Bank$3,00005-02-2014
Seymour Krinsky, Ken Eidson, Kyle Doege RBC Wealth ManagementWells Fargo Advisors$35005-02-2014
Brian L. VallowWells Fargo AdvisorsMorgan Stanley Wealth Management$9305-01-2014
Stephanie M. Bass, Darin E. MockWells Fargo AdvisorsBank of America Merrill Lynch$17005-01-2014
Mitch Sivertson, Debbie HughesWells Fargo AdvisorsUBS Financial Services $15205-01-2014
Kurt WiegertNFP Advisor Services GroupFounders Financial$6005-01-2014
Paul AuslanderNFP Advisor Services GroupFoothill Securities$7005-01-2014
Markus ByrdNFP Advisor Services GroupAmeriprise Financial$5005-01-2014
Garrett J. DevineNFP Advisor Services GroupWells Fargo Advisors$6505-01-2014
David Neunuebel, Lisa BarrantesRaymond JamesWells Fargo Advisors$8005-01-2014
John Morgan, Brian Sabo, Jason Edelson Hightower AdvisorsWells Fargo Advisors$38404-28-2014
Mark W. Thatcher, Shad F. Lamm, Chris Risenmay, Ross Biesinger, David Thatcher, Clark Penney, Marc KovenIntegrated Wealth ManagementMorgan Stanley Wealth Management$74004-28-2014
Charles Laverty, Carol PipitoneCalton & AssociatesOppenheimer$9004-24-2014
Gerald SarokenBank of America Merrill LynchMorgan Stanley Wealth Management$11604-24-2014
Brian SarokenBank of America Merrill LynchMorgan Stanley Wealth Management$19304-24-2014
Joseph H. McAuley, Jr.Robert W. Baird & Co.Wells Fargo Advisors$004-14-2014
Sean A. SmalleyLPL FinancialCharles Schwab$7504-11-2014
Steven Guggenheimer, George ZakiJanney Montgomery ScottBarclays$21404-10-2014
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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.