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
Litao MaiHSBC Securities (USA) Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated05-18-2009
Timothy Paul CannuliRaymond James Financial Services, Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated06-11-2009
Michael Taft HaasTD Ameritrade, Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$5006-22-2009
Paul Alfred TropeaRBC Capital Markets, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$2901-14-2010
David Mark BiebelbergRoyal Alliance Associates, Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated01-15-2010
Harold Vincent LaudienLPL Financial LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$10002-05-2010
Jason Dean MctaggartWells Fargo Clearing Services, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$10003-05-2010
William Russell BookerUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated04-19-2010
Gabriel David SimonWells Fargo Clearing Services, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$5004-23-2010
Paul A PlatekUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$8805-03-2010
Daniel B SmithUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated05-03-2010
Jeffrey Aknew Wright SrGarden State Securities, Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$10005-11-2010
Shawn Michael OConnellMorgan StanleyMerrill Lynch, Pierce, Fenner & Smith Incorporated06-08-2010
George J VellaringattuVALIC Financial Advisors, Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated06-21-2010
Richard Andres JambrinaUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated07-07-2010
Barry Jacob GottliebMorgan StanleyMerrill Lynch, Pierce, Fenner & Smith Incorporated$1607-19-2010
Michael Timothy CocozzaPurshe Kaplan Sterling InvestmentsMerrill Lynch, Pierce, Fenner & Smith Incorporated$5007-20-2010
Viktor MiskoFidelity Brokerage Services LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated08-09-2010
Nina Greenberg HakimUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$17908-20-2010
Prakriti ChadhaFidelity Brokerage Services LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated08-26-2010
Nina HakimUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$30008-31-2010
Philip Edward ClippingerMorgan StanleyMerrill Lynch, Pierce, Fenner & Smith Incorporated$5009-02-2010
Michael Harold MrotzekMorgan StanleyMerrill Lynch, Pierce, Fenner & Smith Incorporated$5009-03-2010
John Paul McTagueBuckman, Buckman & Reid, Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$15009-16-2010
Eileen Kecskemety NagyMorgan StanleyMerrill Lynch, Pierce, Fenner & Smith Incorporated10-15-2010
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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.