Advisers on the Move TEST

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
Amie Marie NeesUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated08-09-2019
Andrew Ramon CarroLPL Financial LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$15003-27-2009
Anne Elise PetersonWells Fargo Clearing Services, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$2508-01-2011
Brian Christopher CasebeerWells Fargo Clearing Services, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated05-26-2016
Brian PerroneWells Fargo Clearing Services, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$5005-25-2012
Cansada Marie ColemanWaddell & ReedMerrill Lynch, Pierce, Fenner & Smith Incorporated$10004-08-2013
Carissa Healy FroomeArvest Wealth ManagementMerrill Lynch, Pierce, Fenner & Smith Incorporated01-29-2013
Carolyn A VertovecVSR Financial Services, Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated09-21-2009
Carra Denece SpragueMorgan StanleyMerrill Lynch, Pierce, Fenner & Smith Incorporated02-05-2016
Christopher Shane WilliamsNYLIFE Securities LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated02-26-2020
Clinton Edward AndersonStifel, Nicolaus & Company, IncorporatedMerrill Lynch, Pierce, Fenner & Smith Incorporated05-16-2019
Damon Mark SchimmingOppenheimer & Co. Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$2501-13-2012
Daniel Khun ToyCreative PlanningMerrill Lynch, Pierce, Fenner & Smith Incorporated04-25-2017
Darren Eugene PrachtAmeriprise Financial Services, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$5010-07-2011
Deborah Ann KnightFAS Corp.Merrill Lynch, Pierce, Fenner & Smith Incorporated07-06-2009
Dirk P LawsonOppenheimer & Co. Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated11-21-2012
Franklin Cruz SantosU.S. Bancorp Investments, Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated04-13-2020
Gary Dale JonesVALIC Financial Advisors, Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated10-28-2014
Isaac William UlbrichThe O.N. Equity Sales CompanyMerrill Lynch, Pierce, Fenner & Smith Incorporated05-03-2016
James C. ShayUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated09-19-2018
James Edward NeunuebelUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$10006-27-2014
James Jerry SoukupBMO Harris Financial Advisors, Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated07-24-2014
James Lee McEnerney Jr.Wells Fargo Clearing Services, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated09-13-2011
Janis Ruth DickeyPrincipal Securities, Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated07-09-2009
Jason C PurintonCetera Advisors LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated05-07-2010
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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.