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
Leonard Allan SchneidermanMorgan Stanley & Co. IncorporatedMerrill Lynch, Pierce, Fenner & Smith Incorporated01-01-2009
Maria Alejandra PetracchiniUbs International Inc.Citi International Financial Services LLC01-01-2009
Mark BrahneyMorgan Stanley & Co. LLCUBS Financial Services Inc.01-01-2009
Mark Allen MillerMorgan Stanley & Co. LLCUBS Financial Services Inc.01-01-2009
Mark Andrew HoughtonCitigroup Global Markets Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated01-01-2009
Mark Andrew SchangMorgan Stanley & Co. IncorporatedMerrill Lynch, Pierce, Fenner & Smith Incorporated01-01-2009
Mark Philip SchmidtMorgan Stanley & Co. LLCUBS Financial Services Inc.01-01-2009
Mary Anne SerbonichExcel Securities & Associates, Inc.Cheevers, Hand & Angeline, Inc.01-01-2009
Megan Elizabeth Dupre-KeatingCitigroup Global Markets Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated01-01-2009
Merrill Leffler SchwartzMorgan Stanley & Co. LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated01-01-2009
Michael Francis RomagnoloUBS Financial Services Inc.Wells Fargo Clearing Services, LLC01-01-2009
Michael Jerome KetterMorgan Stanley & Co. LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated01-01-2009
Michael Martin MurrayCambridge Investment Research, Inc.UBS Financial Services Inc.01-01-2009
Mitchell David SteinMorgan Stanley & Co. LLCUBS Financial Services Inc.01-01-2009
Nelson Frederick FaroMorgan Stanley & Co. LLCUBS Financial Services Inc.01-01-2009
Nicholas Anthony BernardoMorgan Stanley & Co. LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated01-01-2009
Patricia Hand Van LeerMorgan Stanley & Co. LLCUBS Financial Services Inc.01-01-2009
Paul Victor OlsonMorgan Stanley & Co. LLCUBS Financial Services Inc.01-01-2009
Perry Keith Jeffries IIIChase Investment Services Corp.UBS Financial Services Inc.01-01-2009
Peter Anthony Scocca IIIWells Fargo Clearing Services, LLCUBS Financial Services Inc.01-01-2009
Peter Michael SteffensFBT Investments, Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated01-01-2009
Rachel R CohenMorgan Stanley & Co. LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated01-01-2009
Randall Allen YoungMorgan Stanley & Co. LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated01-01-2009
Randall Scott CovingtonSecurities America, Inc.Citigroup Global Markets Inc.01-01-2009
Richard Dean GurchakMorgan Stanley & Co. LLCUBS Financial Services Inc.01-01-2009
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Showing 101 to 125 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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