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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
Gerald SarokenBank of America Merrill LynchMorgan Stanley Wealth Management$11604-24-2014
Brian SarokenBank of America Merrill LynchMorgan Stanley Wealth Management$19304-24-2014
Steven Guggenheimer, George ZakiJanney Montgomery ScottBarclays$21404-10-2014
Carrie S. Gallaway, Andrew L. SternLebenthal Wealth AdvisorsMorgan Stanley Wealth Management$1,20003-25-2014
Jeffrey Schulte, James D. HilesCantor Fitzgerald Wealth PartnersMariner Wealth Advisors$003-10-2014
Peggy WhitmoreCapTrust Financial Advisors401(k) Advisors, Inc.$003-10-2014
Daniel Tedesco, Dennis MaddenMorgan Stanley Wealth ManagementUBS Financial Services$16103-03-2014
Darren Graff, Natalya MuravchikJ.P. Morgan Securities LLCBank of America Merrill Lynch$002-27-2014
Jeffrey S. Vogel, Ruth BergerHightower AdvisorsBank of America Merrill Lynch$30002-24-2014
Michael Bromberg, Daniel GerschelBank of America Merrill LynchMorgan Stanley Wealth Management$40002-20-2014
Peter J. Walsh, Lisa J. WalshRaymond JamesMorgan Stanley Wealth Management$22502-20-2014
Alex A. GallegoRaymond JamesStifel Nicolaus & Co.$9402-18-2014
Christopher E. GayeProspera Financial ServicesC. E. Gaye and Sons Securities$20001-30-2014
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
Aviva PintoHighline Wealth ManagementOpenArc Asset Management$001-15-2014
Mark KravietzHightower AdvisorsUBS Financial Services$30001-03-2014
Bruce GelfandWells Fargo AdvisorsUBS Financial Services$8912-20-2013
David Weigel, Steven DiminoRBC Wealth ManagementMorgan Stanley Wealth Management$17012-13-2013
Michael J. SullivanStifel Nicolaus & Co.Bank of America Merrill Lynch$012-10-2013
Richard A. Rosenberg, Rosario J. RuffinoMariner Wealth AdvisorsRR Advisory Group$78012-02-2013
Michael Cooper, Sidney CooperAmeriprise FinancialMorgan Stanley Wealth Management$20012-02-2013
Charles Massimi, Bradley Silverman, Daniel Bruno Raymond JamesMorgan Stanley Wealth Management$15411-26-2013
Laurie C. KamhiHightower AdvisorsBank of America Merrill Lynch$32011-26-2013
Peter J. KleinHightower AdvisorsUBS Financial Services$21011-15-2013
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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.