Advisers on the Move

Never miss a move. The industry's only comprehensive database of financial advisers and brokers changing firms. View over a decade of recruiting activity at wirehouses, regional brokerages, RIAs and independent broker-dealers.

Considering changing firms, making a new hire or exploring an acquisition? Visit the Adviser Center.

Latest moves

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Adviser(s) Firm joining Firm leaving AUM ($M) Date
Monika Elizabeth WindleLPL Financial LLCWamu Investments, Inc.01-02-2009
Nicholas George BarlasPurshe Kaplan Sterling InvestmentsSagePoint Financial, Inc.01-02-2009
Nicola Albert HannaRaymond James Financial Services Advisors, IncWamu Investments, Inc.01-02-2009
Nina Parks TateLPL Financial LLCTransamerica Financial Advisors, Inc$2501-02-2009
Nolan Glen WorleyRaymond James Financial Services Advisors, IncWamu Investments, Inc.01-02-2009
Norman Paul FisherUBS Financial Services Inc.Morgan Stanley & Co. LLC$2501-02-2009
Pamela K GretherUBS Financial Services Inc.Morgan Stanley & Co. Incorporated01-02-2009
Paul SteinbissStifel, Nicolaus & Company, IncorporatedJanney Montgomery Scott LLC01-02-2009
Paul G. GeisRBC Capital Markets, LLCUBS Financial Services Inc.01-02-2009
Paul William SniderLPL Financial LLCRobert W. Baird & Co. Incorporated01-02-2009
Quinto Fabio AmbrosettiPurshe Kaplan Sterling InvestmentsSecurities America, Inc.$1,00001-02-2009
Ralph Garcia Jr., Bradley Jay BarnblattWells Fargo Clearing Services, LLCUBS Financial Services Inc.01-02-2009
Randall Jay SchulmanFirst Heartland Capital, Inc.Brokers International Financial Services, LLC.$1001-02-2009
Raymond Dean PiccirilloPurshe Kaplan Sterling InvestmentsSecurities America, Inc.$10001-02-2009
Richard Charles Morrow Jr.Purshe Kaplan Sterling InvestmentsSecurities America, Inc.$10001-02-2009
Richard Dennis Namm, John Joseph MoranUBS Financial Services Inc.Morgan Stanley & Co. LLC01-02-2009
Richard Lee BoppH. Beck, Inc.Waddell & Reed$2501-02-2009
Richard S NalbandianLantern Investments, Inc.Mclaughlin, Piven, Vogel Inc.$10001-02-2009
Richard Stephen ElmanMoors & Cabot, Inc.UBS Financial Services Inc.$5001-02-2009
Richard William KrombachThrivent Investment Management Inc.BCG Securities, Inc.$2501-02-2009
Robert Rotstan Jr., James Robert ValeUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated01-02-2009
Robert A KravetzBrighton Securities Corp.Citigroup Global Markets Inc.$10001-02-2009
Robert Franklin PiersonMorgan Keegan & Company, Inc.RBC Capital Markets, LLC01-02-2009
Robert Marvin MarshbanksRaymond James Financial Services Advisors, IncEdward Jones01-02-2009
Robert S Prater Jr.UBS Financial Services Inc.Morgan Stanley & Co. LLC$5001-02-2009
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Showing 276 to 300 of 132,622 entries

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Disclaimer & Methodology: The InvestmentNews Advisers on the Move database is designed to capture all recruiting activity of retail financial advisers/teams of advisers as they move from one firm to another. The activity recorded within the database comes from a number of sources, including InvestmentNews and other media reports; press releases; direct submissions that have been reviewed by InvestmentNews; and regulatory filings. To qualify as a move, no more than 60 days can have elapsed between the date an adviser/team leaves one firm and the date they join another. Any adviser registration changes that came as a result of merger & acquisition activity are not recorded as moves in the database. Finally, please note that all AUM data is user-submitted and is not audited by InvestmentNews or any regulatory agency. When AUM data is unavailable, a “ — “ is listed in the record’s AUM field entry.

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