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 Charles BarnesWilmington Capital Securities, LLCRBC Capital Markets, LLC$5004-15-2019
Roger Henry FelberbaumOppenheimer & Co. Inc.RBC Capital Markets, LLC$50011-29-2018
David Walsh Connors Jr.Purshe Kaplan Sterling InvestmentsRBC Capital Markets, LLC06-01-2018
John Gerard TyczynskiAmeriprise Financial Services, Inc.RBC Capital Markets, LLC$25002-13-2018
Rosa Maria DiazJanney Montgomery Scott LLCRBC Capital Markets, LLC$1810-02-2017
Brandon Garrett HaaseRaymond James Financial Services, Inc.RBC Capital Markets, LLC01-19-2017
Bruce Harding SearsJanney Montgomery Scott LLCRBC Capital Markets, LLC12-20-2016
Richard Webster KiddTrident Partners Ltd.RBC Capital Markets, LLC$5012-05-2016
Evan Scott MalikMorgan StanleyRBC Capital Markets, LLC$15007-28-2016
Dominic VivoloAmeriprise Financial Services, Inc.RBC Capital Markets, LLC$9201-15-2016
Omri AmitOppenheimer & Co. Inc.RBC Capital Markets, LLC04-06-2015
Ronald Arthur SlevinMerrill Lynch, Pierce, Fenner & Smith IncorporatedRBC Capital Markets, LLC$10003-06-2015
Juana Esther Caicedo-SelingerUBS Financial Services Inc.RBC Capital Markets, LLC$10002-23-2015
Ethan Simeon FingererOppenheimer & Co. Inc.RBC Capital Markets, LLC$10001-30-2015
Christopher James DobsonFirst Liberties FinancialRBC Capital Markets, LLC$5001-21-2015
Nelson David SpiessMorgan StanleyRBC Capital Markets, LLC$10001-09-2015
Charles Almeida FalcaoMorgan StanleyRBC Capital Markets, LLC01-02-2015
Steven Marc HeinowitzCitigroup Global Markets Inc.RBC Capital Markets, LLC12-01-2014
Patricia Anne GaribaldiWells Fargo Clearing Services, LLCRBC Capital Markets, LLC09-12-2014
Christopher John CarboneWells Fargo Clearing Services, LLCRBC Capital Markets, LLC$10006-27-2014
William John BrucatoWells Fargo Clearing Services, LLCRBC Capital Markets, LLC$1006-27-2014
Michael William CarlinMerrill Lynch, Pierce, Fenner & Smith IncorporatedRBC Capital Markets, LLC05-21-2014
Michael Patrick CreganMorgan StanleyRBC Capital Markets, LLC$10009-04-2013
Eric Brian RosenbergOppenheimer & Co. Inc.RBC Capital Markets, LLC$15006-12-2013
Robert Fulton Mason Jr.Stifel, Nicolaus & Company, IncorporatedRBC Capital Markets, LLC10-03-2012
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Showing 1 to 25 of 38 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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