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
Dirk Alan BargenAmeritas Investment Corp.Securian Financial Services, Inc.01-02-2009
Dominick Phillip BonannoWells Fargo Clearing Services, LLCCitigroup Global Markets Inc.$1,00001-02-2009
Don Persons Wyse, David Trent, Rene W HenriksenUBS Financial Services Inc.Deutsche Bank Securities Inc.01-02-2009
Donald B Taylor Jr.City National Securities, Inc.Banc of America Investment Services, Inc.$10001-02-2009
Donald Frank OrsomarsoWamu Investments, Inc.H&R Block Financial Advisors, Inc.01-02-2009
Edner Damion Joseph Jr.John Thomas FinancialEastbrook Capital Group LLC01-02-2009
Edward Davis SmithRaymond James Financial Services Advisors, IncProEquities, Inc.01-02-2009
Edward Linn Heartfield Jr., Melissa M Transier, Christopher Wilkinson GreenMerrill Lynch, Pierce, Fenner & Smith IncorporatedCitigroup Global Markets Inc.01-02-2009
Edward Oda DanielWells Fargo Clearing Services, LLCMorgan Stanley & Co. LLC01-02-2009
Fay SheppardWells Fargo Clearing Services, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$5001-02-2009
Frank Anthony FontanellaH&R Block Financial Advisors, Inc.Wells Fargo Clearing Services, LLC01-02-2009
Frieda Julia RakhmanUBS Financial Services Inc.Morgan Stanley & Co. LLC01-02-2009
George Edward Ponticello Jr.The Leaders Group, Inc.HIMCO Distribution Services Company01-02-2009
Gerald Garth HolmanRaymond James Financial Services Advisors, IncRaymond James Financial Services, Inc.01-02-2009
Glen Adair TylerPNC InvestmentsMerrill Lynch, Pierce, Fenner & Smith Incorporated01-02-2009
Gregory Barton Hendren, Matthew Aaron Hendren, Lisa Diane Castillo, Erik Josef MatternWells Fargo Clearing Services, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated01-02-2009
Gregory Joseph SorcePurshe Kaplan Sterling InvestmentsSecurities America, Inc.$5001-02-2009
Gregory Paul ChinnOppenheimer & Co. Inc.Wells Fargo Clearing Services, LLC$101-02-2009
Harry Phillip GoodwinCambridge Investment Research, Inc.Cetera Advisor Networks LLC$15001-02-2009
Igor VuleticMatchpoint Capital Management, LLCUBS Financial Services Inc.01-02-2009
Ioannis T. PapatherapontosLPL Financial LLCMorgan Stanley & Co. LLC01-02-2009
Irene F BuettnerPurshe Kaplan Sterling InvestmentsSecurities America, Inc.$101-02-2009
James Ellis KoenigCambridge Investment Research, Inc.Cetera Advisor Networks LLC01-02-2009
James Frank MoharCambridge Investment Research, Inc.Berthel, Fisher & Company Financial Services, Inc.01-02-2009
James Jeffrey SchollGWN Securities Inc.L.M. Kohn & Company01-02-2009
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Showing 201 to 225 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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