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
Kevin Michael BroderickOppenheimer & Co. Inc.Citigroup Global Markets Inc.01-08-2009
Frederick L Shreves III, Matthew Thomas CarroccioWells Fargo Clearing Services, LLCCitigroup Global Markets Inc.01-09-2009
Daniel Seth ParnesWells Fargo Clearing Services, LLCCitigroup Global Markets Inc.02-20-2009
David William BorensteinWells Fargo Clearing Services, LLCCitigroup Global Markets Inc.02-27-2009
Walter James AmmermanWells Fargo Clearing Services, LLCCitigroup Global Markets Inc.$5003-19-2009
Charles Arthur RuttenbergOppenheimer & Co. Inc.Citigroup Global Markets Inc.04-17-2009
Troy Rafael Fox, John Francis CarrollRBC Capital Markets, LLCCitigroup Global Markets Inc.$15004-29-2009
Robert Randall ParrMorgan StanleyCitigroup Global Markets Inc.$15006-01-2009
Colleen ShemerMorgan StanleyCitigroup Global Markets Inc.$15006-01-2009
Adam Jason FechterMorgan StanleyCitigroup Global Markets Inc.$15006-01-2009
Mary Mcfadden SextonMorgan StanleyCitigroup Global Markets Inc.$15006-01-2009
Adam Stuart WarshavskyMorgan StanleyCitigroup Global Markets Inc.$15006-01-2009
Robert Joseph HugliMorgan StanleyCitigroup Global Markets Inc.$15006-01-2009
Steven Robert BraloveMorgan StanleyCitigroup Global Markets Inc.$15006-01-2009
Augustine John SmythMorgan StanleyCitigroup Global Markets Inc.$15006-01-2009
Edward Arthur BerryMorgan StanleyCitigroup Global Markets Inc.$15006-01-2009
Irvin Luther Crawford IIMorgan StanleyCitigroup Global Markets Inc.$15006-01-2009
Michael Jay FreimanMorgan StanleyCitigroup Global Markets Inc.$15006-01-2009
Eric Michael ZaginMorgan StanleyCitigroup Global Markets Inc.$10006-01-2009
James Ambler CusickMorgan StanleyCitigroup Global Markets Inc.$10006-01-2009
Steven Jay WollinsMorgan StanleyCitigroup Global Markets Inc.$10006-01-2009
David Keith EubankMorgan StanleyCitigroup Global Markets Inc.$10006-01-2009
Larry Michael HeupleMorgan StanleyCitigroup Global Markets Inc.$10006-01-2009
Dean J EisenMorgan StanleyCitigroup Global Markets Inc.$10006-01-2009
Ross Phillip CharkatzMorgan StanleyCitigroup Global Markets Inc.$10006-01-2009
Next Page »

Showing 1 to 25 of 75 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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