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
Barbara PietrzakMutual Securities, Inc.Janney Montgomery Scott LLC10-01-2019
Richard Joseph CardinalLPL Financial LLCJanney Montgomery Scott LLC$10005-31-2019
John Fortuna Jr.LPL Financial LLCJanney Montgomery Scott LLC06-16-2017
Ross Weller GallowayMorgan StanleyJanney Montgomery Scott LLC$5005-26-2017
Stacy Lee CapobiancoMorgan StanleyJanney Montgomery Scott LLC05-26-2017
David Bruce TopkinStifel, Nicolaus & Company, IncorporatedJanney Montgomery Scott LLC$5006-10-2016
Gerald Irwin MaisnerRBC Capital Markets, LLCJanney Montgomery Scott LLC12-15-2014
Lisa Dawn NekrichRBC Capital Markets, LLCJanney Montgomery Scott LLC12-15-2014
Gregory RomatzickMerrill Lynch, Pierce, Fenner & Smith IncorporatedJanney Montgomery Scott LLC01-31-2013
Elma Lee MohanUBS Financial Services Inc.Janney Montgomery Scott LLC$10006-29-2012
Mark Leslie MohanUBS Financial Services Inc.Janney Montgomery Scott LLC$2510-31-2011
Jarrod Fletcher SlaterWells Fargo Clearing Services, LLCJanney Montgomery Scott LLC$15002-22-2011
Frederick William SpoorCoburn & Meredith, Inc.Janney Montgomery Scott LLC$2507-08-2010
Steven Norbert BanalettiLPL Financial LLCJanney Montgomery Scott LLC06-17-2009

Showing 1 to 14 of 14 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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