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.

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Adviser(s) Firm joining Firm leaving AUM ($M) Date
William Benjamin Jones Jr.Janney Montgomery Scott LLCMorgan Stanley08-10-2009
Sheila Spainhour Shaffer, Shannon Joyce McGreevy, Daniel Wade SpainhourJanney Montgomery Scott LLCMorgan Stanley$2508-19-2009
Deborah Liane Jones, Blake Tyler JonesJanney Montgomery Scott LLCMorgan Stanley$15008-24-2009
Ghislaine Renee Frederick, Terrence Lloyd FrederickMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley$1008-28-2009
Lisa Marie ElbertWells Fargo Clearing Services, LLCMorgan Stanley$15004-09-2010
Leonard F WarrenJanney Montgomery Scott LLCMorgan Stanley$15006-16-2010
Patrick William BransfordMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley$2507-09-2010
Eric Jordan TeichbergUBS Financial Services Inc.Morgan Stanley$5008-05-2011
Lloyd Victor Seested IIIUBS Financial Services Inc.Morgan Stanley$1008-05-2011
Karen Iris Ben-ShlaushUBS Financial Services Inc.Morgan Stanley$1008-05-2011
Frederick Joseph SchultzUBS Financial Services Inc.Morgan Stanley08-05-2011
David John AndreadisUBS Financial Services Inc.Morgan Stanley08-05-2011
Richard Alan HaskinUBS Financial Services Inc.Morgan Stanley08-05-2011
Howard Stuart RothmanUBS Financial Services Inc.Morgan Stanley08-05-2011
Mohammad Seyed BassamMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley08-18-2011
Anthony Christian ConnorUBS Financial Services Inc.Morgan Stanley$1001-13-2012
Bryon Paul FusiniUBS Financial Services Inc.Morgan Stanley01-13-2012
John Hugo Hasenberg, Nancy Ann HartsockMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley$10002-21-2012
Talya Rahel BockMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley02-21-2012
Thomas Andrew GrahamJanney Montgomery Scott LLCMorgan Stanley05-24-2012
Thomas GrahamJanney Montgomery ScottMorgan Stanley$15006-01-2012
John James ForsterMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley$2510-22-2012
Ayesha YasinRBC Capital Markets, LLCMorgan Stanley11-08-2012
Radford E BrogdenRBC Capital Markets, LLCMorgan Stanley11-13-2012
Adam Joseph BrinkleyUBS Financial Services Inc.Morgan Stanley$2511-23-2012
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Showing 1 to 25 of 74 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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