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
Raul Alfonso IsernLPL Financial LLCBarclays Capital Inc.$1011-10-2009
Eduardo Alvarez AndreuMorgan StanleyBarclays Capital Inc.05-21-2010
Abbey H GladstoneMorgan StanleyBarclays Capital Inc.05-30-2012
Carlos Alberto GalloMorgan StanleyBarclays Capital Inc.11-15-2013
Jeannie Paola Adams-CamblinMorgan StanleyBarclays Capital Inc.11-15-2013
Daniel Charles EsslingerMerrill Lynch, Pierce, Fenner & Smith IncorporatedBarclays Capital Inc.12-11-2013
Romel Reinaldo RodriguezMorgan StanleyBarclays Capital Inc.01-17-2014
Rafael Enrique UrquidiWells Fargo Clearing Services, LLCBarclays Capital Inc.02-19-2014
Tony EssesWells Fargo Clearing Services, LLCBarclays Capital Inc.02-24-2014
Sandro Jaime PestanaUBS Financial Services Inc.Barclays Capital Inc.$15005-30-2014
Sergio Vizintas EstefanoUBS Financial Services Inc.Barclays Capital Inc.$15007-17-2014
Felix Joaquin Perez-RetesUBS Financial Services Inc.Barclays Capital Inc.07-17-2014
Brian Lee LowenthalUBS Financial Services Inc.Barclays Capital Inc.$2510-20-2014
Eileen Zimkind BermanUBS Financial Services Inc.Barclays Capital Inc.10-20-2014
James Eric Frank, Fred Marshall Gober, Jared Eliot SoperMorgan StanleyBarclays Capital Inc.10-29-2014
Kristen Ann BissettUBS Financial Services Inc.Barclays Capital Inc.01-20-2015
Irl Andrew SolomonRBC Capital Markets, LLCBarclays Capital Inc.$15001-30-2015
Ginny Rae NealMerrill Lynch, Pierce, Fenner & Smith IncorporatedBarclays Capital Inc.10-26-2015
Gary Edward AdkinStifel, Nicolaus & Company, IncorporatedBarclays Capital Inc.$15012-04-2015
Jonathan Steven HarrisStifel, Nicolaus & Company, IncorporatedBarclays Capital Inc.$10012-04-2015
Robert Dean SperberStifel, Nicolaus & Company, IncorporatedBarclays Capital Inc.12-04-2015
Gary Everett KriegerStifel, Nicolaus & Company, IncorporatedBarclays Capital Inc.12-04-2015
Elyssa Joy KupferbergStifel, Nicolaus & Company, IncorporatedBarclays Capital Inc.12-04-2015
Thomas C. ApplebyStifel, Nicolaus & Company, IncorporatedBarclays Capital Inc.12-04-2015

Showing 1 to 24 of 24 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. All data and information is the property of InvestmentNews LLC and is protected by copyright and other intellectual property laws. All rights are reserved by InvestmentNews LLC. Data may only be viewed on and can not be resold, republished, redistributed, sublicensed, or copied for any other use without the permission of InvestmentNews LLC.


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