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.

Considering changing firms, making a new hire or exploring an acquisition? Visit the Adviser Center.

Latest moves


Adviser(s) Firm joining Firm leaving AUM ($M) Date
Eric G. Johnson, Brooks CollinsWells Fargo AdvisorsMorgan Stanley02-15-2019
Thomas Reed Avant Jr.Benjamin F. Edwards & Company, Inc.Morgan Stanley12-21-2018
Anne Carr BetheaLPL Financial LLCMorgan Stanley12-12-2018
Rebecca Hardwich BakerUBS Financial Services Inc.Morgan Stanley04-22-2016
Jason Allan SpiveyCetera Investment Services LLCMorgan Stanley01-21-2016
Andrew Michael ChapmanKeel Point Capital, LLCMorgan Stanley11-06-2015
Alan Stuart WeintraubWells Fargo Clearing Services, LLCMorgan Stanley08-26-2015
Sheila Norton HaleMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley06-09-2015
Christopher R. SmithWells Fargo Clearing Services, LLCMorgan Stanley11-20-2014
Robert D. WarrenHighTower Securities, LLCMorgan Stanley07-25-2014
Matthew Lee LawingWells Fargo Clearing Services, LLCMorgan Stanley04-25-2014
Douglas Lawrence WhitmoreWells Fargo Clearing Services, LLCMorgan Stanley01-24-2014
David Wayne McKean Jr.Wells Fargo Clearing Services, LLCMorgan Stanley10-31-2013
Guy Bentley Wilder IVMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley01-22-2013
Shonic Troy LeeStifel, Nicolaus & Company, IncorporatedMorgan Stanley03-13-2012
Julie Durbin HelmersMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley03-05-2012
Ryan HammMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley01-18-2012
Neil David EggersMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley07-07-2011
Steven R. HolleyRaymond James Financial Services, Inc.Morgan Stanley12-10-2010
Jason M. HealyCUNA Brokerage Services, Inc.Morgan Stanley11-01-2010
Pearson Compton MatthewsAmeriprise Financial Services, Inc.Morgan Stanley10-15-2010
Lehman Benjamin Easterling IIIStifel, Nicolaus & Company, IncorporatedMorgan Stanley09-20-2010
Kim F. LepleyMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley03-12-2010
Patrick Martin MullenRaymond James Financial Services, Inc.Morgan Stanley07-10-2009
Thomas Shannon Lott Sr.SA Stone Wealth Management Inc.Morgan Stanley06-12-2009
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Showing 1 to 25 of 57 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 and can not be resold, republished, redistributed, sublicensed, or copied for any other use without the permission of InvestmentNews LLC.


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