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

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Adviser(s) Firm joining Firm leaving AUM ($M) Date
Kurt UzbayStifel Nicolaus & Co.Morgan Stanley Wealth Management$25005-02-2014
Stephen R. BesseRaymond JamesMorgan Stanley Wealth Management$36005-02-2014
Brian L. VallowWells Fargo AdvisorsMorgan Stanley Wealth Management$9304-25-2014
Mark W. Thatcher, Shad F. Lamm, Chris Risenmay, Ross Biesinger, David Thatcher, Clark Penney, Marc KovenIntegrated Wealth ManagementMorgan Stanley Wealth Management$74004-25-2014
James L. Switzer, Eric M. CobbRaymond JamesMorgan Stanley Wealth Management$18004-22-2014
Brian SarokenBank of America Merrill LynchMorgan Stanley Wealth Management$19304-17-2014
Gerald SarokenBank of America Merrill LynchMorgan Stanley Wealth Management$11604-17-2014
Jonathan Lifschutz, David ReedSecurities AmericaMorgan Stanley Wealth Management$7504-17-2014
Gary PolakoffAWM Global AdvisorsMorgan Stanley Wealth Management$9704-10-2014
Carrie S. Gallaway, Andrew L. SternLebenthal Wealth AdvisorsMorgan Stanley Wealth Management$103-21-2014
Gary J. PareseWells Fargo AdvisorsMorgan Stanley Wealth Management$27003-14-2014
Mark PhillipsWells Fargo AdvisorsMorgan Stanley Wealth Management$12003-14-2014
Thomas NolanWells Fargo AdvisorsMorgan Stanley Wealth Management$10003-14-2014
Evan Schottenstein JPMorgan Chase & Co.Morgan Stanley Wealth Management03-10-2014
Barry D. MasciWells Fargo AdvisorsMorgan Stanley Wealth Management$9003-07-2014
Gary BaumgartnerAmeriprise FinancialMorgan Stanley Wealth Management$7402-28-2014
Kim IsaacsonAmeriprise FinancialMorgan Stanley Wealth Management$12202-26-2014
John Lewis, Joe BartholomewBB&T SecuritiesMorgan Stanley Wealth Management$90002-14-2014
Peter J. Walsh, Lisa J. WalshRaymond JamesMorgan Stanley Wealth Management$22502-14-2014
Michael Bromberg, Daniel GerschelBank of America Merrill LynchMorgan Stanley Wealth Management$40002-13-2014
Lisbeth L. CherringtonFSC SecuritiesMorgan Stanley Wealth Management$30001-31-2014
Christopher Englebert, Daniel ReitzBeirne Wealth ConsultingMorgan Stanley Wealth Management$25001-22-2014
Michael T. MoriartyHighline Wealth ManagementMorgan Stanley Wealth Management01-14-2014
Rick PignoneRaymond JamesMorgan Stanley Wealth Management$24012-20-2013
Seth DiamondJanney Montgomery ScottMorgan Stanley Wealth Management$5812-20-2013
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Showing 276 to 300 of 578 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.

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