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.

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Latest moves

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Adviser(s) Firm joining Firm leaving AUM ($M) Date
Thomas Bruce KeeneUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$10001-01-2009
James Aubrey Sapp Jr.Wells Fargo Clearing Services, LLC (Formerly Wells Fargo Advisors, LLC)Merrill Lynch, Pierce, Fenner & Smith Incorporated$20001-07-2009
Jonathan Scott ParkerWells Fargo Clearing Services, LLC (Formerly Wells Fargo Advisors, LLC)Merrill Lynch, Pierce, Fenner & Smith Incorporated$10001-16-2009
Joe Neil CurtisMorgan Stanley & Co. LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$10002-01-2009
William Tillman JefferyMorgan Stanley & Co. LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated02-01-2009
David Ryan JefferyMorgan Stanley & Co. LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated02-01-2009
Kristi M TrowbridgeSA Stone Wealth Management Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated02-01-2009
David Eugene LewisCommonwealth Financial NetworkMerrill Lynch, Pierce, Fenner & Smith Incorporated03-06-2009
Jack C BurnetteAmeriprise Financial Services, Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$25003-13-2009
Janet Lee WilsonCommonwealth Financial NetworkMerrill Lynch, Pierce, Fenner & Smith Incorporated$50003-13-2009
James Dudley SumpterAmeriprise Financial Services, Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$10003-17-2009
Harry Lee JacksonLPL Financial LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated03-19-2009
Steve Brian TreutelWells Fargo Clearing Services, LLC (Formerly Wells Fargo Advisors, LLC)Merrill Lynch, Pierce, Fenner & Smith Incorporated$10003-27-2009
Scott Allison ChambersAmeriprise Financial Services, Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$50003-27-2009
David Michael WelshMorgan Stanley & Co. LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$50004-01-2009
Jason D. LandersKeel Point Capital, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$10004-17-2009
Thomas Eugene SmithCetera Investment Services LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated05-18-2009
John Randall GraysonLPL Financial LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$10006-01-2009
Jason L CorkSecurities America, Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated07-20-2009
Vester Mandiver Martin IIIEdward JonesMerrill Lynch, Pierce, Fenner & Smith Incorporated$25008-21-2009
Tod Emery FrickMorgan StanleyMerrill Lynch, Pierce, Fenner & Smith Incorporated$10006-04-2010
Sergio Roberto D'OliveiraMorgan StanleyMerrill Lynch, Pierce, Fenner & Smith Incorporated$15006-04-2010
Francisco Dal Poz D'OliveiraMorgan StanleyMerrill Lynch, Pierce, Fenner & Smith Incorporated$25006-04-2010
Leonardo Magalhaes Coutinho SilvaMorgan StanleyMerrill Lynch, Pierce, Fenner & Smith Incorporated$50006-04-2010
Amy Elisabeth BaughmanMorgan StanleyMerrill Lynch, Pierce, Fenner & Smith Incorporated06-04-2010
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Showing 1 to 25 of 141 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 InvestmentNews.com and can not be resold, republished, redistributed, sublicensed, or copied for any other use without the permission of InvestmentNews LLC.

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