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


Adviser(s) Firm joining Firm leaving AUM ($M) Date
Robert Scott StammLPL Financial LLCAmeriprise Financial Services, Inc.01-02-2009
Robert T DridaUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$5001-02-2009
Robin Sue JarvisOppenheimer & Co. Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated01-02-2009
Rosemary Reichmann GilliamUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$10001-02-2009
Russell Turner HenshawWells Fargo Clearing Services, LLCCitigroup Global Markets Inc.01-02-2009
Ryan Henry FurtwanglerPurshe Kaplan Sterling InvestmentsSecurities America, Inc.$101-02-2009
Samuel Lyle TorrezCambridge Investment Research, Inc.RMIN Securities, Inc.$5001-02-2009
Scott Albert OnealWells Fargo Clearing Services, LLCMorgan Stanley & Co. LLC$1,00001-02-2009
Scott Eric LakeSecurities Service Network, LLCSagePoint Financial, Inc.$10001-02-2009
Scott John HellandStifel, Nicolaus & Company, IncorporatedUBS Financial Services Inc.$5001-02-2009
Seana ChungEssex National Securities, LLCAXA Advisors, LLC01-02-2009
Shawna Denise BonnerVoya Financial Advisors, Inc.LPL Financial LLC$101-02-2009
Stasia RichardsonStifel, Nicolaus & Company, IncorporatedUBS Financial Services Inc.01-02-2009
Stephan F. DiolWells Fargo Clearing Services, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$1,00001-02-2009
Stephen Carl SchrammPurshe Kaplan Sterling InvestmentsSecurities America, Inc.$1,00001-02-2009
Stephen Edward SigmonLPL Financial LLCMICG Investment Management, LLC$1,00001-02-2009
Steven Michael RinnPurshe Kaplan Sterling InvestmentsSecurities America, Inc.$1,00001-02-2009
Steven Ray HouserCoordinated Capital Securities, Inc.VSR Financial Services, Inc.$101-02-2009
Steven Theodore SwindlerPurshe Kaplan Sterling InvestmentsSecurities America, Inc.$15001-02-2009
Ted Andrew ScharchUBS Financial Services Inc.Banc of America Investment Services, Inc.$10001-02-2009
Tennyson Calvin ShifleyCambridge Investment Research, Inc.Cincinnati Analysts, Inc.$101-02-2009
Thomas Andrew Padgett Sr.INVEST Financial CorporationRoyal Alliance Associates, Inc.01-02-2009
Thomas F DrozdzLPL Financial LLCAmeriprise Advisor Services, Inc.01-02-2009
Thomas Francis Muldowney Jr.Wells Fargo Clearing Services, LLCUBS Financial Services Inc.01-02-2009
Thomas Michael BatsonWells Fargo Clearing Services, LLCMorgan Stanley & Co. LLC$5001-02-2009
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Showing 301 to 325 of 132,751 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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