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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Adviser(s) Firm joining Firm leaving AUM ($M) Date
Susan MamisMorgan Stanley & Co. LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$2501-01-2009
Carl Dennis HanksMorgan Stanley & Co. LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$5001-01-2009
Susan E GnallMorgan Stanley & Co. LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated01-01-2009
Lawrence John ForlenzaMorgan Stanley & Co. LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated01-01-2009
John P Clarke IIMorgan Stanley & Co. LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated01-01-2009
William Bradford SullivanUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$10001-05-2009
Lawrence Koren MalamutUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$10001-05-2009
Samuel John CannonWells Fargo Clearing Services, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$15001-05-2009
Stephen Francis CatonUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$10001-06-2009
Richard Scott FigueroaUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$10001-06-2009
George Michael FeldmanUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$5001-07-2009
James Francis McDavittWells Fargo Clearing Services, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$10001-08-2009
Joseph BonacciUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$15001-09-2009
Richard Alan HagertyUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$10001-09-2009
Devashish M. ShahUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$15001-09-2009
Robert MaherUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated01-09-2009
Peter P. RubolottaWells Fargo Clearing Services, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated01-09-2009
Mark William LeonhardWells Fargo Clearing Services, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$5001-09-2009
James J FerrieWells Fargo Clearing Services, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$5001-09-2009
John Paul BogostaWells Fargo Clearing Services, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$5001-09-2009
Joseph Gerard HigginsUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$5001-14-2009
Rose Dorothy WehmeyerUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$15001-14-2009
Charles Paul WehmeyerUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$10001-14-2009
Schone Leon MallietWells Fargo Clearing Services, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$5001-14-2009
Garrie P LewisWells Fargo Clearing Services, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated01-14-2009
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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.