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
John Samuel Fitch IIILPL Financial LLCPNC Investments11-08-2018
Tracy Earl DeanWells Fargo Clearing Services, LLCPNC Investments09-28-2018
Kimberley Ann AldrichWells Fargo Clearing Services, LLCPNC Investments07-20-2018
Amelia Justice HarmonInvestacorp, Inc.PNC Investments03-15-2018
Kelli Boykin PeeleFirst Citizens Investor Services, Inc.PNC Investments12-08-2017
Ilce M. PalizaMerrill Lynch, Pierce, Fenner & Smith IncorporatedPNC Investments09-22-2017
Leigh Ann P. RotzFirst Citizens Investor Services, Inc.PNC Investments07-12-2017
Charles Patrick LynchMerrill Lynch, Pierce, Fenner & Smith IncorporatedPNC Investments05-26-2017
Arnold Alex RosalesMerrill Lynch, Pierce, Fenner & Smith IncorporatedPNC Investments12-09-2016
Michael Guido TaggartMerrill Lynch, Pierce, Fenner & Smith IncorporatedPNC Investments09-29-2016
Catherine Ann BryantCUSO Financial Services, L.P.PNC Investments09-07-2016
Jonathan P. GrocottMerrill Lynch, Pierce, Fenner & Smith IncorporatedPNC Investments06-21-2016
Michael McManusMerrill Lynch, Pierce, Fenner & Smith IncorporatedPNC Investments05-20-2016
Matthew Gregory CaisonWells Fargo Clearing Services, LLCPNC Investments06-06-2014
Timothy Douglas HintonFirst Citizens Investor Services, Inc.PNC Investments$1005-18-2017
Frank Anthony Mularz IIILPL Financial LLCPNC Investments$1007-17-2013
Mark Anthony MizzerW&S Brokerage Services, Inc.PNC Investments$2509-19-2017
Hoss EsmaeiliWells Fargo Clearing Services, LLCPNC Investments$3811-02-2017
John David Wilson IICetera Investment Services LLCPNC Investments$5005-31-2017
Monty Ray PollardWells Fargo Clearing Services, LLCPNC Investments$15010-04-2018
Ricky Paul SloanFirst Citizens Investor Services, Inc.PNC Investments$15006-27-2018
John R. Callaway Jr.Wells Fargo Clearing Services, LLCPNC Investments$15005-23-2018

Showing 1 to 22 of 22 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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