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


Adviser(s) Firm joining Firm leaving AUM ($M) Date
Daniel John MoynihanNational Securities CorporationMorgan Stanley11-27-2019
Otis HudsonMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley11-20-2019
Daniel G. RauppStifel, Nicolaus & Company, IncorporatedMorgan Stanley11-15-2019
Tracey F. FranklinStifel, Nicolaus & Company, IncorporatedMorgan Stanley11-15-2019
Elizabeth Ann ReinkeStifel, Nicolaus & Company, IncorporatedMorgan Stanley$10011-08-2019
Alfredo SerranoStifel, Nicolaus & Company, IncorporatedMorgan Stanley$10011-08-2019
Gary Lynn PhelpsStifel, Nicolaus & Company, IncorporatedMorgan Stanley$50011-08-2019
Michael Joseph MillerWells Fargo Clearing Services, LLC (Formerly Wells Fargo Advisors, LLC)Morgan Stanley$10011-01-2019
Steven Raymond ShattoWells Fargo Clearing Services, LLC (Formerly Wells Fargo Advisors, LLC)Morgan Stanley$50011-01-2019
Jennifer Marie BerginWells Fargo Clearing Services, LLC (Formerly Wells Fargo Advisors, LLC)Morgan Stanley11-01-2019
Zachary Joseph HarvethStifel, Nicolaus & Company, IncorporatedMorgan Stanley10-31-2019
John Joseph MannixPNC InvestmentsMorgan Stanley10-25-2019
Robert Howard Dawson JrMML Investors Services, LLCMorgan Stanley10-22-2019
Edgar A WrightSA Stone Wealth Management Inc.Morgan Stanley$10010-10-2019
Ian S BurgessClark LewisMorgan Stanley10-07-2019
Mark Allen FrommerOppenheimer & Co. Inc.Morgan Stanley$32009-19-2019
James Andrew HardenPruco Securities, LLC.Morgan Stanley09-05-2019
Kaitlin Jean OchabFifth Third Securities, Inc.Morgan Stanley08-29-2019
John PethokoukisStifel, Nicolaus & Company, IncorporatedMorgan Stanley$10008-22-2019
Donald Jay MetterRBC Capital Markets, LLCMorgan Stanley$10008-22-2019
Scott A. WeissmanMatrix Private Capital GroupMorgan Stanley08-14-2019
Thomas Bruno BruceMatrix Private Capital GroupMorgan Stanley08-14-2019
Becky Joy DevriesNorthwestern Mutual Investment Services, LLCMorgan Stanley08-06-2019
Ivanna Anatolyevna PyzhovaWells Fargo Clearing Services, LLC (Formerly Wells Fargo Advisors, LLC)Morgan Stanley07-30-2019
Sameer Abrar SaitMerrill Lynch, Pierce, Fenner & Smith IncorporatedMorgan Stanley$15007-24-2019
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Showing 1 to 25 of 371 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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