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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
Robert A. Leggett, James B. Tharin, Clint W. SorensonRaymond JamesWells Fargo Advisors; UBS Financial Services$20005-14-2014
Christopher KnustAmeriprise FinancialMorgan Stanley Wealth Management$14705-09-2014
Milton SchwartzWells Fargo AdvisorsBank of America Merrill Lynch$13505-09-2014
Rodger A. Friedman, Joe WongSteward Partners Global AdvisoryMorgan Stanley Wealth Management$17005-09-2014
Norman Lev, Glen Sher, Michael JeshivaWells Fargo AdvisorsMorgan Stanley Wealth Management$23605-09-2014
Paul Vidovich, Gregory Gonzales, Robert B. Mitchell, Jr., Jacqueline T. Wieland, Phillip Joyce, Michael PlanningStifel Nicolaus & Co.Wells Fargo Advisors$58605-08-2014
Joseph M. Esposito, Jr., Keith KikerCommonwealth Financial NetworkMassMutual Financial Group$15005-06-2014
Larry E. Jones, Taylor R. JonesRetirement Benefits GroupVanguard Capital$9005-06-2014
Henry HauserRaymond JamesUBS Financial Services$60005-02-2014
Kurt UzbayStifel Nicolaus & Co.Morgan Stanley Wealth Management$25005-02-2014
Richard Lee, Brandon Blair, Mike Costa, Barbara Hacke ReschWells Fargo AdvisorsMorgan Stanley Wealth Management$31105-02-2014
Stephen R. BesseRaymond JamesMorgan Stanley Wealth Management$36005-02-2014
Scott StudwellSterne, Agee & LeachKeefe, Bruyette & Woods$21705-02-2014
Joel J. Guth, Catherine E. Cory, Angelo Manzo Jr., Judy L. RoseberryHightower AdvisorsMorgan Stanley Wealth Management$60005-02-2014
Karen BurchVoya Financial Advisors PartnersNewbridge Securities$5004-25-2014
Brian L. VallowWells Fargo AdvisorsMorgan Stanley Wealth Management$9304-25-2014
Stephanie M. Bass, Darin E. MockWells Fargo AdvisorsBank of America Merrill Lynch$17004-25-2014
Mitch Sivertson, Debbie HughesWells Fargo AdvisorsUBS Financial Services $15204-25-2014
John Morgan, Brian Sabo, Jason Edelson Hightower AdvisorsWells Fargo Advisors$38404-25-2014
Mark W. Thatcher, Shad F. Lamm, Chris Risenmay, Ross Biesinger, David Thatcher, Clark Penney, Marc KovenIntegrated Wealth ManagementMorgan Stanley Wealth Management$74004-25-2014
James L. Switzer, Eric M. CobbRaymond JamesMorgan Stanley Wealth Management$18004-22-2014
Jonathan Lifschutz, David ReedSecurities AmericaMorgan Stanley Wealth Management$7504-17-2014
Gerald SarokenBank of America Merrill LynchMorgan Stanley Wealth Management$11604-17-2014
Brian SarokenBank of America Merrill LynchMorgan Stanley Wealth Management$19304-17-2014
Todd Frediani, Larry StaterStifel Nicolaus & Co.UBS Financial Services$20004-16-2014
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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.