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
Robert Frazier Coon IIIMerrill Lynch, Pierce, Fenner & Smith IncorporatedFirst Union Securities, Inc.10-01-2004
Albert Tyler TynesSigma Financial CorporationHantz Financial Services, Inc.01-01-2009
Alfred Joseph EsproMorgan Stanley & Co. IncorporatedTransamerica Financial Advisors, Inc01-01-2009
Alisa Bachana JaffeMorgan Stanley & Co. LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated01-01-2009
Andrew Dennis PerlmanMorgan Stanley & Co. IncorporatedMerrill Lynch, Pierce, Fenner & Smith Incorporated01-01-2009
Andrew Jonathan BurwellCitigroup Global Markets Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated01-01-2009
Anne-Marie MitchellChase Investment Services Corp.BOK Financial Services, Inc.01-01-2009
Anthony Bernardo Bernardo Jr.Morgan Stanley & Co. LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated01-01-2009
Ardaches PeltekianMorgan Stanley & Co. LLCWamu Investments, Inc.01-01-2009
Armando J EspinozaMorgan Stanley & Co. LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated01-01-2009
Arnold Paul ServaisMorgan Stanley & Co. LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated01-01-2009
Benjamin A SteinbergMorgan Stanley & Co. LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated01-01-2009
Benjamin Joseph SweeneyMorgan Stanley & Co. LLCUBS Financial Services Inc.01-01-2009
Bradley Jason BoeckSyndicated Capital, Inc.Country Capital Management Company$5001-01-2009
Brian MaileyMorgan Stanley & Co. LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated01-01-2009
Brian Francis SutcliffeMorgan Stanley & Co. LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated01-01-2009
Brian Neil LawrenceMorgan Stanley & Co. LLCUBS Financial Services Inc.01-01-2009
Bruce Charles MogenFintegra, LLCAXA Advisors, LLC01-01-2009
Cameron Smith IIIMorgan Stanley & Co. LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated01-01-2009
Carl Dennis HanksMorgan Stanley & Co. LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated01-01-2009
Cecil Gene JesterMorgan Stanley & Co. LLCUBS Financial Services Inc.01-01-2009
Chad Robert EllmanMorgan Stanley & Co. LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated01-01-2009
Charles PavlovMorgan Stanley & Co. LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated01-01-2009
Charles Laskey Minter Jr.Morgan Stanley & Co. LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated01-01-2009
Charlotte Ann ChaseCambridge Investment Research, Inc.Provident Private Capital Partners, Inc.01-01-2009
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Showing 1 to 25 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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