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
Adam Marshall JonesLPL Financial LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated12-07-2016
Bernadette GuinnCity National Securities, Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated10-20-2016
Betsy Lou WhipplePrivate Client Services, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$50001-31-2017
Brandon Howard SalibaMorgan StanleyMerrill Lynch, Pierce, Fenner & Smith Incorporated03-21-2011
Brent Allan SawrieUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated10-26-2015
Brian Moran ChapmanLPL Financial LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated11-13-2015
Carol Lynn McintoshWells Fargo Clearing Services, LLC (Formerly Wells Fargo Advisors, LLC)Merrill Lynch, Pierce, Fenner & Smith Incorporated01-29-2016
Cason D. SwinnRBC Capital Markets, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$55008-31-2017
Chad Corby HerrenWells Fargo Clearing Services, LLC (Formerly Wells Fargo Advisors, LLC)Merrill Lynch, Pierce, Fenner & Smith Incorporated$50003-30-2012
Chad Roy SillmanU.S. Bancorp Investments, Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated10-24-2011
Charles Eric GrethCUSO Financial Services, L.P.Merrill Lynch, Pierce, Fenner & Smith Incorporated12-11-2015
Christopher James BennettMWF Consulting Solutions LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated03-09-2015
Clifford Clinton IubeltRBC Capital Markets, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated10-16-2019
Curtis Van SlothowerCornerstoneMerrill Lynch, Pierce, Fenner & Smith Incorporated07-24-2013
Daniel TollRBC Capital Markets, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$25008-31-2017
Dannette Marie TrivisonnoUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated05-08-2009
David Clinton IubeltRBC Capital Markets, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$10010-16-2019
David Jon PetersRBC Capital Markets, LLCMerrill Lynch, Pierce, Fenner & Smith Incorporated$10005-29-2015
David Malcolm Lee HarrisU.S. Bancorp Investments, Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated06-13-2014
David Marcus WinchellUBS Financial Services Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated06-28-2010
Debbie GuireWells Fargo Clearing Services, LLC (Formerly Wells Fargo Advisors, LLC)Merrill Lynch, Pierce, Fenner & Smith Incorporated$10012-05-2013
Derek David RosenbergAmeriprise Financial Services, Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$50011-30-2018
Derek Seiyu UeharaRaymond James Financial Services, Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated$20001-07-2010
Domenica DannaMorgan StanleyMerrill Lynch, Pierce, Fenner & Smith Incorporated07-23-2019
Elizabeth Marie MorenoAmeriprise Financial Services, Inc.Merrill Lynch, Pierce, Fenner & Smith Incorporated12-10-2012
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Showing 1 to 25 of 79 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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