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
Sean Peter RooneyLPL Financial LLCOppenheimer & Co. Inc.10-30-2015
Yan BinderWells Fargo Advisors Financial Network, LLCOppenheimer & Co. Inc.10-23-2015
James Daniel McDermottRaymond James & Associates, Inc.Oppenheimer & Co. Inc.$2510-16-2015
James Kevin SmildeWells Fargo Clearing Services, LLCOppenheimer & Co. Inc.10-15-2015
Christian F GalloFieldpoint Private Securities, LLCOppenheimer & Co. Inc.10-09-2015
Allen WeissAegis Capital Corp.Oppenheimer & Co. Inc.10-05-2015
Kevin J WilsonUBS Financial Services Inc.Oppenheimer & Co. Inc.$10010-02-2015
Matthew Hugh HurleyWells Fargo Clearing Services, LLCOppenheimer & Co. Inc.09-15-2015
Ian Noel FeuerMerrill Lynch, Pierce, Fenner & Smith IncorporatedOppenheimer & Co. Inc.09-11-2015
Gary J. WalkerRaymond James Financial Services, Inc.Oppenheimer & Co. Inc.$2509-09-2015
Kevin Paul GreigGreig, Kevin POppenheimer & Co. Inc.08-26-2015
William David MorrisonNational Securities CorporationOppenheimer & Co. Inc.07-31-2015
Jamie TamRBC Capital Markets, LLCOppenheimer & Co. Inc.07-24-2015
Michael ShermanRBC Capital Markets, LLCOppenheimer & Co. Inc.07-24-2015
David Michael KennyRaymond James Financial Services, Inc.Oppenheimer & Co. Inc.$2507-06-2015
Deborah A GoodermuthAmeriprise Financial Services, Inc.Oppenheimer & Co. Inc.$20007-02-2015
Veronica I. Puello VisbalMerrill Lynch, Pierce, Fenner & Smith IncorporatedOppenheimer & Co. Inc.06-19-2015
Neil Roy RubinUBS Financial Services Inc.Oppenheimer & Co. Inc.$2506-18-2015
Jeffrey Nagel1st Global Capital Corp.Oppenheimer & Co. Inc.06-15-2015
Steven Thomas HorkyUBS Financial Services Inc.Oppenheimer & Co. Inc.$2506-11-2015
Eric B. SoosUBS Financial Services Inc.Oppenheimer & Co. Inc.06-11-2015
Robert Stephen RichHuntleigh Securities CorporationOppenheimer & Co. Inc.$1006-01-2015
Tim Patrick AndersonStifel, Nicolaus & Company, IncorporatedOppenheimer & Co. Inc.$5005-22-2015
Kenneth Thomas AntonSigma Financial CorporationOppenheimer & Co. Inc.05-15-2015
Michael Allen Bober, Ettore D Ventrice, Michael Sean Macdonald, Alan Michael Radoulovitch, Alexandre Martins Santos, Noah David RubinUBS Financial Services Inc.Oppenheimer & Co. Inc.$10004-30-2015
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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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